Paul Richard Stephens

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

• 08/2013 → Present
  Iic (Institutional Investment Consulting)
  Bloomfiled Hills, MI
• 11/2013 → Present
  Lpl Financial Llc
  Bloomfield Hills, MI

Previous Registrations

• 2007-12-19 → 2013-11-25
  Cantella & Co., Inc.
  Livonia, MI
  Malden, MA
  Bloomfield Hills, MI
• 2004-05-21 → 2007-11-27
  Comerica Securities
  Detroit, MI
  Detroit, MI
  Detroit, MI

Other Businesses

1. 11/22/2013 - RETIREMENT CONSULTING SOLUTIONS/ ENTITY FOR TAX PURPOSES ONLY/ 0%/ BLOOMFIELD HILLS, MI 2. 12/5/2013 - Institutional Investment Consulting (IIC) - Investment Related - At Reported Business Location(s) - Registered Investment Advisor - IAR/Registered Investment Advisor - Start Date: 09/2013 - 160 Hours Per Month/160 Hours During Securities Trading - Time Spent 100% - I provide consulting services through Institutional Investment Consulting (IIC), an independent investment advisor firm. I started this business activity in 09/2013. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial. 3. 09/19/2019 - Institutional Investment Consulting (IIC) - Investment related - At reported business location(s) - Registered Investment Advisor - start date:11/21/2013 - 640 hrs/mo - 6 hrs during trading - IAR - I provide financial planning and consulting services through Institutional Investment , an independent investment advisor firm.  I started this business activity in 11/2013. I expect to spend approximately 140 hours per month on this activity. Please see the advisory firm¿s Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The advisory firm is separate from and independent of LPL Financial.

Exams

• S65 Uniform Investment Adviser Law Examination
  2004-05-20
• S63 Uniform Securities Agent State Law Examination
  1992-04-21