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RIA / WealthAdvisordual registered (broker-dealer)39 years in industry

ROBERT WILLIAM STEPHENS

Advisor at LPL FINANCIAL LLC

DALLAS, TX

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:26 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: Feb 13, 1996 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: LPL FINANCIAL LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 26, 1987earliest registration or exam on IAPD
Years in industry: 39derivedfrom the industry start date
Years at current firm: 3derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 2
Exams: S63|S65
First exam: Mar 26, 1987
First registration: Feb 13, 1996
Dual registered: yes, broker-dealer
Other names: BILL STEPHENS|ROBERT W STEPHENS
IAPD individual key: 1642683

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
LPL FINANCIAL LLC	Bd affiliated wealth	May 19, 2023	n/a	yes	DALLAS, TX	Current employment
Spc	Bd affiliated wealth	Apr 10, 2013	May 18, 2023	no	DALLAS, TX\|ANN ARBOR, MI	Previous registration
Spc	Bd affiliated wealth	Mar 4, 2011	Dec 31, 2011	no	LAS COLINAS, TX\|DALLAS, TX	Previous registration
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Oct 5, 2009	Mar 14, 2011	no	RICHARDSON, TX\|DALLAS, TX	Previous registration
AMERIPRISE ADVISOR SERVICES, INC.	n/a	Jun 30, 2003	Oct 5, 2009	no	RICHARDSON, TX\|IRVING, TX\|IRVING, TX	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Feb 13, 1996	Jan 21, 2003	no	DALLAS, TX	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
Spc	LPL FINANCIAL LLC	May 18, 2023	May 19, 2023	1	Bulk transfer	Ibd to ibd
AMERIPRISE FINANCIAL SERVICES, LLC	Spc	Mar 14, 2011	Mar 4, 2011	-10	Firm change	Other
AMERIPRISE ADVISOR SERVICES, INC.	AMERIPRISE FINANCIAL SERVICES, LLC	Oct 5, 2009	Oct 5, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	AMERIPRISE ADVISOR SERVICES, INC.	Jan 21, 2003	Jun 30, 2003	160	Firm change	Other

Relationships

Registered with (5)

→ LPL FINANCIAL LLCRegistered adviserregistration: current employment
May 19, 2023 to presentfactForm ADV
→ SPCRegistered adviserregistration: previous registration
Apr 10, 2013 to May 18, 2023factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Oct 5, 2009 to Mar 14, 2011factForm ADV
→ AMERIPRISE ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jun 30, 2003 to Oct 5, 2009factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Feb 13, 1996 to Jan 21, 2003factForm ADV

Dated events

No dated event names this entity yet.