Stephen Michael Raglow-De Franco

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 09/2005 → 10/2022
  Ameriprise Financial Services, Inc.
  Amherst, NY
• 10/2022 → 09/2024
  International Assets Advisory, Llc
  Niagra Falls, NY
• 09/2024 → Present
  Lpl Financial, Llc
  Camden, NJ

Previous Registrations

• 2022-10-17 → 2024-09-04
  International Assets Investment Management, Llc
  Orlando, FL
  Niagra Falls, NY
• 1999-09-12 → 2022-10-19
  Ameriprise Financial Services, Llc
  Wooster, OH
  Amherst, NY
  Amherst, NY

Other Businesses

1- 07/2024 / Confident Trust Financial Group / DBA for LPL Business (entity for LPL business) / Inv Rltd / 160 hrs mnth / 8 hrs during trading

Exams

• S65 Uniform Investment Adviser Law Examination
  1998-06-03
• S63 Uniform Securities Agent State Law Examination
  1997-11-25

Other Names

• Stephen Michael Raglowdefranco