Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Stephen? Claim Your ProfileStephen Willis is a financial advisor with LPL Financial LLC, a large, well-established firm. Stephen has been in the financial services industry since 1981 and has a wide range of experience working with a variety of clients. Stephen has a strong track record of success in helping individuals and families achieve their financial goals.
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
CA
05/22/2023 - Present
LPL Financial LLC (SAN DIEGO CA)
TX
06/18/2018 - 05/22/2023
SIGMA FINANCIAL CORPORATION (SAN ANTONIO TX)
TX
07/01/2003 - 06/20/2018
WELLS FARGO CLEARING SERVICES, LLC (SAN ANTONIO TX)
NY
02/23/1995 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
TX
02/12/1993 - 02/13/1995
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
MO
09/04/1990 - 02/08/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
11/13/1989 - 09/04/1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
TX
03/08/1988 - 11/13/1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED (HOUSTON TX)
NA
07/23/1981 - 03/14/1988
SHEARSON LEHMAN HUTTON INC.
BOTH
Issued 04/11/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/27/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/06/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 03/13/1983
Series 3 - National Commodity Futures Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 07/18/1981
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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