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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Spoltman is a financial advisor at LPL Financial LLC. Stephen has been in the financial services industry since 1988 and has been registered with the state of Indiana since 1995. He is a licensed investment advisor and has a Series 7, 6, 24 and 63 license. Stephen also holds the Chartered Financial Consultant designation. Stephen's experience includes working at Summit Consultants, Inc. as well as Guardian Investor Services Corporation and Century Investors of America, Inc. Stephen Spoltman is also registered as an investment advisor representative for Summit Consultants, Inc. in Texas. Stephen Spoltman specializes in financial planning, pension consulting, educational seminars, and selection of other advisors. He is a registered representative for LPL Financial LLC and also has a non-variable insurance license.
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.
1
2
IN
09/30/2013 - Present
LPL Financial LLC (FORT WAYNE IN)
NY
03/31/1992 - 06/06/1995
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NA
10/31/1988 - 03/16/1992
CENTURY INVESTORS OF AMERICA, INC.
BC
Issued 10/28/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/2004
Series 24 - General Securities Principal Examination
BC
Issued 07/27/1995
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2003
Series 7 - General Securities Representative Examination
BC
Issued 10/28/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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