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Joseph Scarborough

Retirement Management Systems
43 Years of Experience
Tampa, FL
2 Disclosures
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Joseph Scarborough is a registered investment advisor at Retirement Management Systems, based in Tampa, FL, with 43 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, High Net Worth, Insurance Planning, and 3 more. Their firm serves 3,032 clients with $1.9B in assets under management.

Retirement Management Systems
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
4 advisors
Number of Clients
3,032 clients
Average Client Portfolio
$622K average
Assets Under Management
$1.9B

Fee Structure

RMS offers two investment management services:

  • Savings Plan Management: RMS manages investments within your 401(k) or similar retirement plan. The fee is a flat dollar amount ($100-$2,500 per year) or a percentage of your account (0.10% to 0.85% per year). The exact fee is negotiated with your Investment Advisor Representative.
  • Portfolio Management: RMS manages investment portfolios outside of retirement plans. The maximum annual fee is 2.50% of the value of your account, charged quarterly in advance.
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Location

Tampa, FL

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Regulatory
July 2004
Final
Regulatory
September 1994
Final
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph owns Running Hare Vineyard since 2008, where he hosts friends, family, colleagues, and clients, dedicating minimal time to it. He also owns The Hungry Hare food trailer, located at the vineyard, since 2018, dedicating minimal time to it.

Employment History
Current Registrations
Retirement Management Systems
January 2014 - Present · 12 yrs 4 mos
Previous Registrations
Brookstone Capital Management LLC
January 2018 - April 2019 · 1 yr 3 mos
Sii Investments, INC.Broker
December 2008 - December 2017 · 9 yrs
Royal Alliance Associates, INC.Broker
January 1996 - December 2008 · 12 yrs 11 mos
Retirement Investment GroupBroker
February 1993 - December 1995 · 2 yrs 10 mos
Scarborough Capital Management, INC.
January 1992 - December 2013 · 21 yrs 11 mos
Investors Security Company, INC.Broker
June 1986 - February 1993 · 6 yrs 8 mos
Hibbard-Beck, INC.Broker
February 1985 - May 1986 · 1 yr 3 mos
Affiliated Investors Service INC.Broker
November 1984 - March 1985 · 4 mos
Legg Mason Wood Walker, IncorporatedBroker
March 1984 - July 1984 · 4 mos
Dean Witter Reynolds INC.Broker
October 1981 - February 1984 · 2 yrs 4 mos
State Registrations2 states
FLMD
Advisor

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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