SV
Stephen L. Vigesaa
LPL ENTERPRISE
Fergus Falls, MN
Some features on this profile are disabled
CRD#: 5057905
SV
Professional summary
Stephen Leif Vigesaa, who also goes by Steve Leif VIgesaa, is a registered financial advisor currently at LPL ENTERPRISE, LLC located in Fergus Falls, Minnesota.
Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Stephen has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Leif Vigesaa
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1. 08/23/2024; STEPHEN VIGESAA FOR FERGUS FALLS BOARD; Government; NOT inv related; 10hr/mo non trading; 5 hr/mo trading; 08/06/2024 SYNSTELLIN COMMUNITY SERVICES POSITION: Direct Support Professional NATURE: Healthcare and Social Assistance INVESTMENT RELATED: No NUMBER OF HOURS: 64 SECURITIES TRADING HOURS: 0 START DATE: 02/11/2016 ADDRESS: 128 E Meadowlark Ln, Fergus Falls MN 56537, United States DESCRIPTION: Group home - Direct Support Professional FERGUS FALLS PUBLIC SCHOOLS - BOARD MEMBER POSITION: Board Member NATURE: Educational Services INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2021 ADDRESS: 601 Randolph Ave, Fergus Falls MN 56537, United States DESCRIPTION: Oversees and directs Superintendent. The board as a whole is in charge of writing and approving policies for the school district. There are six board members. A CENTER FOR THE ARTS POSITION: Board member NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/25/2023 ADDRESS: 124 W Lincoln Ave, Fergus Falls MN 56537, United States DESCRIPTION: Oversee the business dealings of the organization and help make decisions that maintain and grow the organization. I will not have any investment or check handling authority. TRUE NORTH FINANCIAL GROUP POSITION: Financial Planner NATURE: Insurance and investment sales for Pruco products. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 05/08/2023 ADDRESS: 1401 College Way, Fergus Falls MN 56537, United States DESCRIPTION: Sales of investment and insurance products. STEPHEN VIGESAA AGENCY POSITION: Owner NATURE: Finance and Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 20 START DATE: 11/20/2023 ADDRESS: 1401 College Way, Fergus Falls MN 56537, United States DESCRIPTION: I will be providing Medicare advice and selling Medicare supplements and Medicare Advantage plans to the public.
CRS (Client Relationship Summary) - RIA
Click below to view Stephen Leif Vigesaa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephen Leif Vigesaa's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #2: 1401 College Way, Fergus Falls, MN 56537RIA
BD
CRD#: 8733
Fergus Falls, MN
Current
November 14, 2024 - Present
LPL ENTERPRISE, LLC
Office #1: 1401 College Way, Fergus Falls, MN 56537RIA
BD
CRD#: 8733
FERGUS FALLS, MN
Past
May 2, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
RIA
CRD#: 5685
ST. LOUIS PARK, MN
Past
May 2, 2023 - November 14, 2024
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
ST. LOUIS PARK, MN
Past
January 5, 2015 - May 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
FERGUS FALLS, MN
Past
January 5, 2015 - May 10, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
FERGUS FALLS, MN
Past
November 16, 2010 - January 6, 2015
EDWARD JONES
RIA
CRD#: 250
FERGUS FALLS, MN
Past
November 12, 2010 - January 6, 2015
EDWARD JONES
BD
CRD#: 250
FERGUS FALLS, MN
Past
February 24, 2006 - October 18, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
ROCHESTER, MN
Past
January 23, 2006 - October 18, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
ROCHESTER, MN
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Florida(6/17/2025)
RR
Louisiana(6/20/2025)
RR
Minnesota(11/14/2024)
IAR
Minnesota(11/14/2024)
RR
North Dakota(11/14/2024)
RR
South Dakota(6/17/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
LE
LPL ENTERPRISE, LLC
APPALACHIAN INVESTMENT CORPORATION | LPLE | LPL ENTERPRISE, LLC | LPL ENTERPRISE | HARVEST FINANCIAL CORPORATION WILL DO INVESTMENT ADVISORY BUSINESS ONLY IN CALIFORNIA AS HARVEST ADVISORS | HARVEST FINANCIAL CORPORATION
CRD#: 8733 / SEC#: 801-130883, 8-26037
RIA
Registered Investment Advisory firm - SEC (8/7/2024 Approved)California
Registered Investment Advisory firm - SEC (11/29/2020 Terminated)Ohio
Registered Investment Advisory firm - SEC (4/1/2023 Terminated)Pennsylvania
Registered Investment Advisory firm - SEC (4/7/2023 Terminated)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
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Contact information
Main Address
1055 Lpl Way, Fort Mill, SC 29715
Mailing Address
1055 Lpl Way, Fort Mill, SC 29715
Phone number
(704) 733-3300
Established
Delaware since 05/25/2023
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
4,650
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| LPL HOLDINGS, INC. | MANAGING MEMBER | |
| HORAN-ADAMS, KIRBY LEPAK | CHIEF EXECUTIVE OFFICER. PRESIDENT | 5097259 |
| MALFITANO, STEVEN THOMAS | PRINCIPAL FINANCIAL OFFICER AND PRINCIPAL OPERATIONS OFFICER, FINOP | 3178848 |
| MORRISON, STEVEN PHILIP | SECRETARY | 4529345 |
| SHEEHAN, RICHARD STEVEN | SVP, CHIEF COMPLIANCE OFFICER | 3096567 |
Regulatory assets under management
| Total Number of Accounts | 114,002 |
| AUM (Assets Under Management) | $ 18,862,098,900 |
Disclosures
| Regulatory Event | 3 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 06/25/2025 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
