Steven Kesses
Steven Kesses is a registered investment advisor at LPL Financial LLC, based in Woodbridge, CT, with 44 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
Woodbridge, CT
Get directionsHistory
Regulatory History (2)
Regulatory
May 2007Employment Separation After Allegations
January 2007Other Business Activities
Steven operates under the DBAs Gateway Financial Group and Gateway Financial Partners for his LPL business. He dedicates nearly full-time hours to these investment-related activities.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLC
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
National Planning CorporationBroker
First Allied Securities, INC.
First Allied Securities, INC.Broker
Raymond James Financial Services
Raymond James Financial Services, INC.Broker
UBS Painewebber INC.
UBS Painewebber INC.Broker
Polaris Financial Services, INC.Broker
J. T. Moran & CO., INC.Broker
Buttonwood Securities Corporation of MassachusettsBroker
First Investors CorporationBroker
State Registrations12 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.