Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Locker is a financial advisor with over 30 years of experience in the financial services industry. Stephen is registered with LPL Financial LLC, a broker-dealer and investment advisor. Stephen has also held previous registrations with National Planning Corporation, Investacorp, Inc., Linsco/Private Ledger Corp., American Express Financial Advisors Inc. and IDS Life Insurance Company. Stephen holds the Series 7, Series 24 and Series 63 licenses and is a Certified Financial Planner. Stephen is licensed in 43 states and is a registered investment advisor in 13 states. Stephen's clients include high-net-worth individuals, corporations, trusts, and charitable organizations. Stephen's practice focuses on financial planning, investment management, and retirement planning.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NJ
11/29/2017 - Present
LPL Financial LLC (WARREN NJ)
NJ
11/24/2006 - 11/29/2017
NATIONAL PLANNING CORPORATION (WARREN NJ)
NJ
12/01/1997 - 12/05/2006
INVESTACORP, INC. (WARREN NJ)
SC
07/03/1996 - 12/11/1997
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
MN
10/07/1991 - 07/12/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
10/07/1991 - 07/12/1996
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 07/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/20/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/04/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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