Steve Raymond Cfp(r)CRD Number: 5495792
Current Firm: Lpl Financial LLC
Steve Raymond Cfp(r) (CRD# 5495792) is an Investment Advisor Representative working at Lpl Financial LLC in Rancho Cordova, CA and has over 10 years of experience in the finance industry. Steve Raymond Cfp(r) 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.
Clarion Advisors Inc.
Adams Ashby Financial Advisors
Three Oaks Capital Management
|Safe Credit Union||Rancho Cordova, CA||Dec 2016 - Current||1|
|Lpl Financial, LLC||Rancho Cordova, CA||Dec 2016 - Current||1|
|Cambridge Investment Research, Inc.||Fairfield, IA||Dec 2013 - Dec 2016||3|
|Cambridge Investment Research Advisors, Inc.||Fairfield, IA||Dec 2013 - Dec 2016||3|
|Navion Financial Advisors, LLC||Davis, CA||Apr 2012 - Dec 2013||1|
|Lpl Financial||Davis, CA||Dec 2010 - Apr 2012||1|
|Ameritas Investment Corp||Lincoln, NE||Jul 2008 - Dec 2010||2|
|Ameritas Life Insurance Corp||Lincoln, NE||Jul 2008 - Dec 2010||2|
|Acacia Life Insurance Company||Lincoln, NE||Jul 2008 - Dec 2010||2|
|Union Central Life Insurance Company||Cincinnati, OH||Jul 2008 - Dec 2010||2|
|20/20 Financial Advisors Of Sacramento||Folsom, CA||Jul 2008 - Dec 2010||2|
|Aig Financial Advisors||Roseville, CA||Mar 2008 - Jul 2008||< 1|
|Rtk Financial/aigfa Non-reg Asst||Roseville, CA||Feb 2008 - Jul 2008||< 1|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Apr 2008|
|S65||NASAA Investment Advisors Law Examination||Apr 2008|
Total Assets Under Management117,248MILLIONS
Total Number of Accounts551,780ACCOUNTS
Average Account Value$212,490
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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)
- Educational seminars/workshops
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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