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Steven Kesses

LPL Financial LLC
45 Years of Experience
Woodbridge, CT
2 DisclosuresBroker
View SEC Summary
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Steven Kesses is a registered investment advisor at LPL Financial LLC, based in Woodbridge, CT, with 45 years of industry experience. Steven is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

Woodbridge, CT

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
May 2007
Final
Employment Separation After Allegations
January 2007
View Full SEC ReportHow to Read Disclosures
Other 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
November 2017 - Present · 8 yrs 11 mos
LPL Financial LLC
November 2017 - Present · 8 yrs 11 mos
LPL Financial LLC
November 2017 - Present · 8 yrs 11 mos
Previous Registrations
National Planning Corporation ("npc of America" in Fl & Ny)
March 2007 - December 2017 · 10 yrs 9 mos
National Planning CorporationBroker
February 2007 - November 2017 · 10 yrs 9 mos
First Allied Securities, INC.
February 2007 - March 2007 · 1 mo
First Allied Securities, INC.Broker
January 2007 - March 2007 · 2 mos
Raymond James Financial Services
September 2003 - January 2007 · 3 yrs 4 mos
Raymond James Financial Services, INC.Broker
January 2003 - January 2007 · 4 yrs
UBS Painewebber INC.
April 1992 - January 2003 · 10 yrs 9 mos
UBS Painewebber INC.Broker
September 1991 - January 2003 · 11 yrs 4 mos
Polaris Financial Services, INC.Broker
June 1989 - September 1991 · 2 yrs 3 mos
J. T. Moran & CO., INC.Broker
May 1988 - June 1989 · 1 yr 1 mo
Buttonwood Securities Corporation of MassachusettsBroker
March 1982 - May 1988 · 6 yrs 2 mos
First Investors CorporationBroker
September 1981 - March 1982 · 6 mos
State Registrations13 states
ALCTDEFLMAMENCNJNYORPARIVT
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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