Stephen Carl Peterson
Investment adviser representative at LPL Financial LLC
10 yearsExperience
2 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
10 years in the industry.
- LPL Financial LLCFeb 2026 to now
- Ameriprise Financial Services, LLCSep 2021 to Feb 2026
- UnemployedJul 2021 to Aug 2021
- Dws DistributorsMar 2019 to Jun 2021
- Foreside Fund Services, LLC - ApJan 2019 to Feb 2019
- UnemployedOct 2018 to Dec 2018
- Rock Harbor, LLCJan 2018 to Feb 2019
- First Trust Advisors L.P.Apr 2016 to Sep 2018
- First Trust Portfolios L.P.Apr 2016 to Sep 2018
Exams passed
- Series 66 · Uniform Combined State Law2022
State registrations
Registered as an investment adviser representative in 2 states (FL, TX).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5858087
- Firm CRD
- 6413