Stephen Liles, financial advisor Lake Charles LA
96 score

Stephen Liles

CRD Number: 5305395
Current Firm: Goss Wealth Management

Stephen Liles (CRD# 5305395) is an Investment Advisor Representative working at Goss Wealth Management in Lake Charles, LA and has over 5 years of experience in the finance industry. Stephen Liles has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Gwm Advisors, LLC Lake Charles, LA Apr 2016 - Current < 1
Lpl Financial, LLC Lake Charles, LA Apr 2016 - Current < 1
Transamerica Financial Advisors, Inc. Lake Charles, LA Feb 2008 - Apr 2016 8
Guardian Life Insurance Company Lake Charles, LA Feb 2007 - Mar 2008 1
Park Avenue Securities Lake Charles, LA Mar 2007 - Feb 2008 < 1
Liles & Redd Lake Charles, LA Aug 2004 - Mar 2007 2
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2011
Contact Info for Stephen K. Liles
Phone Number: 225-930-4677
Firm Website: http://www.toupswm.com
Registered State(s):
  • LA
  • TX
By the Numbers
  • Total Assets Under Management
    255
    MILLIONS
  • Total Number of Accounts
    1,206
    ACCOUNTS
  • Average Account Value
    $211,130
Compensation Options
  • A percentage of assets under your management
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
Types of Clients
Registered States

AL, CA, CO, FL, GA, HI, KS, LA, MS, TX

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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