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Stephen Brown

Lasalle St. Investment Advisors, L.L.C.
48 Years of Experience
Portland, OR
6 DisclosuresBrokerSells Insurance
View SEC Summary
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Stephen Brown is a registered investment advisor at Lasalle St. Investment Advisors, L.L.C., based in Portland, OR, with 48 years of industry experience. Stephen is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Education Planning, Estate Planning, and 7 more. Their firm serves 14,284 clients with $5.7B in assets under management.

Lasalle St. Investment Advisors, L.L.C.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
161 advisors
Number of Clients
14,284 clients
Average Client Portfolio
$402K average
Assets Under Management
$5.7B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $100K2.00%
$100K - $250K1.50%
$250K - $500K1.25%
$500K - $1.0M1.00%
$1.0M - $3.0M0.90%
$3.0M - $5.0M0.80%
$5M+0.70%

Schedule reflects the firm's managed discretionary program. Firm also offers the LaSalle St. Asset Management Program (LAMP) with higher suggested rates, and fees are negotiable.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

8835 SW Canyon Ln., Ste 115, Portland, OR, 97225

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History

Regulatory History (6)
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.
Customer Dispute
December 2012
Settled
Customer Dispute
June 2012
Settled
Customer Dispute
February 2011
Settled
Customer Dispute
October 1992
Award / Judgment
Regulatory
December 1990
Final
Customer Dispute
November 1989
Award / Judgment
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Stephen operates under the DBA NW Securities Advisors for securities-related business and fixed insurance. He is also an agent for health, life, and variable insurance, and participates in finance and fundraising committees for Deschutes Land Trust, serves as a board member for Economic Development for Central Oregon, Crook County, and is a committee member for the Crook County Oregon Budget Committee.

Employment History
Current Registrations
Lasalle St. Investment Advisors, L.L.C.
April 2024 - Present · 2 yrs 6 mos
Lasalle St Securities, L.L.C.
March 2024 - Present · 2 yrs 7 mos
Lasalle St Securities, L.L.C.Broker
March 2024 - Present · 2 yrs 7 mos
Previous Registrations
Lasalle St. Investment Advisors, L.L.C.
March 2024 - April 2024 · 1 mo
Western International Securities
January 2018 - April 2024 · 6 yrs 3 mos
Western International Securities, INC.Broker
September 2006 - April 2024 · 17 yrs 7 mos
First Allied Securities, INC.Broker
June 2005 - September 2006 · 1 yr 3 mos
Round Hill Securities, INC.Broker
March 2002 - June 2005 · 3 yrs 3 mos
Pim Financial Services, INC.Broker
February 1998 - March 2002 · 4 yrs 1 mo
Northeast Securities, INC.Broker
March 1995 - January 1998 · 2 yrs 10 mos
Mfi Investments CORP.Broker
November 1994 - March 1995 · 4 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1989 - September 1994 · 4 yrs 10 mos
Livingston Securities, INC.Broker
March 1987 - December 1989 · 2 yrs 9 mos
A. G. Edwards & Sons, INC.Broker
August 1983 - March 1987 · 3 yrs 7 mos
Shearson/american Express INC.Broker
October 1981 - August 1983 · 1 yr 10 mos
Devito Investment CO.Broker
November 1980 - July 1981 · 8 mos
Belford Hammerbeck, INCBroker
March 1980 - November 1980 · 8 mos
E. F. Hutton & Company INCBroker
December 1977 - April 1980 · 2 yrs 4 mos
State Registrations6 states
CACOFLNCORWA
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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