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Detailed Report
STEPHEN PATRICK KESTER
CRD#: 6107541
IA
Investment Adviser
B
Broker
LPL FINANCIAL LLCCRD#: 6413 405 5TH ST
AMES, IA 50010
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2013 - Present (12 years)
License(s)

State Registrations

B
Arizona 10/13/2014
B
Missouri 11/19/2018
B
California 3/20/2015
B
Montana 4/16/2021
B
Colorado 5/31/2016
B
Nebraska 11/17/2020
B
Florida 7/1/2016
B
North Carolina 5/21/2013
B
Idaho 12/14/2020
B
Oregon 10/15/2020
B
Illinois 6/11/2020
B
South Carolina 1/24/2025
B
Iowa 3/4/2013
B
Texas 4/3/2019
IA
Iowa 3/4/2013
IA
Texas 4/3/2019
B
Kentucky 12/14/2020
B
Virginia 11/13/2013
B
Maryland 10/16/2013
B
Washington 1/12/2021
B
Massachusetts 2/6/2014
B
Wisconsin 5/5/2023
B
Minnesota 12/14/2020

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
LPL FINANCIAL LLC (CRD#:6413)
405 5TH ST, AMES, IA 50010
5625 MILLS CIVIC PKWY STE 100, WEST DES MOINES, IA 50266
Registered with this firm since 3/4/2013
B
LPL FINANCIAL LLC (CRD#:6413)
405 5TH ST, AMES, IA 50010
5625 MILLS CIVIC PKWY STE 100, WEST DES MOINES, IA 50266
Registered with this firm since 1/4/2013
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.