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VERIFIEDKathleen Nemetz
LPL Financial/ Stratos Wealth
3623 Crossings Drive
Suite 112
Prescott, AZ 86305
928-460-5522
About LPL Financial/ Stratos Wealth
Jeffrey Concepcion, Founder and CEO, launched Stratos Wealth Partners in November 2008 with a vision of creating an organization where experienced financial advisors could access the resources and support needed to serve their clients while maintaining the personal relationships central to their practices.
Stratos was built to provide advisors with a strong foundation of operational support, technology, investment resources, compliance guidance and practice-management expertise. This allows advisors to devote more of their time and attention to understanding their clients' needs and providing personalized financial guidance.
Since its founding, Stratos has grown into a national network of experienced financial advisors and financial planning professionals serving individuals, families and businesses across the country. Despite that growth, the firm remains committed to combining the capabilities of a national organization with the personal attention of a local advisor.
In 2025, Stratos entered its next chapter through a strategic investment and business partnership with SEI. The relationship expands the resources available to Stratos and its advisors while supporting the firm's continued growth and long-term vision.
See Disclosures
General Information
Firm Start Year
1926
CRD#
4887008
Firm CRD#
6413
Insurance License#
National insurance producer number 8395689
States Licensed in
AZ,CA,GA,TX,WA,WV
Years of Experience in Financial Services
22
Number of Years with Current Firm
6
Work Experience
Stratos Wealth Partners, Ltd. (Investment Adviser) / LPL Financial LLC (Broker-Dealer), Prescott, AZ: 2019 - Present McClurg Capital Corporation, San Rafael, CA: 2013 - 2019 Ameriprise Financial Services, Inc., San Francisco, CA: 2009 - 2013 Ameriprise Advisor Services, Inc., San Francisco, CA: 2006 - 2009 Merrill Lynch, Pierce, Fenner & Smith Inc., Mill Valley, CA: 2005 - 2006
Work with the following types of clients
Individual Investors, Businesses
Foreign Languages Serviced
French
Advisory Services Provided
Estate Planning & Trusts, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, Wealth Management, Financial Planning for Individuals, Investment Advice & Management
Services
Investment Types
Stocks, Annuities, Mutual Funds, Alternative Investments, Exchange Traded Funds (ETFs), Insurance, Bonds
Can meet clients in the following ways
Our Office, Phone, Email, Video Conference
Compliance
Registered Investment Advisor
Yes
Registered Representative
Yes
Investment Advisor Representative
Yes
Acknowledged fiduciary
Yes
Compliance Disclosures in Last 5 years
I have a clean record
Criminal Disclosures in Last 5 years
I have a clean record
Qualifications & Membership
Certifications, Accreditations & Designations
MBA, CFP®, CDFA®, CPFA®
Securities Licenses
SIE, Series 66, Series 7
Insurance and Annuity Licenses
Life, Annuity, Variable Annuity, Variable Life
Firm Information
Advisor's Number of Clients
100+
Advisor's Number of Managed Clients
90
Advisor's Number of Planning Clients
3
Total Assets Under Management by Advisor
$32M
Compensation and Fees
Fee Structure
Fee-Based
Minimum Portfolio Size for New Managed Accounts
$200K
Compensation Methods
Based on Assets, Commissions
Additional Details on Charges
My percentage fee charged to assets under management drops for accounts over $1 million in size. Also I use separately managed accounts managed by outside investment teams on the LPL Platform and fees for these can be higher, depending on the nature of the accounts. Fees for insurance products can vary widely, according to the type of product.
Education
MBA Finance - Portfolio Management
Pace University
10/7/1988 -01/15/1990
Disclosures
RetirementPlanning.net provides referrals to financial professionals of LPL Financial, LLC (LPL). RetirementPlanning.net is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay RetirementPlanning.net cash compensation for these referrals, which creates the incentive for RetirementPlanning.net to make these referrals, resulting in a conflict of interest.
LPL ADV 2A
https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf
Additional Detailed Disclosures
https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf