Ernest Caponegro
Ernest Caponegro is a registered investment advisor at Osaic Advisory Services, LLC, based in Manasquan, NJ, with 43 years of industry experience. Ernest operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Investment Management, and 1 more. Their firm serves 28,410 clients with $12B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Osaic Advisors offers investment management through several programs:
- Ally Account: Fees are negotiable, with a maximum annual fee of 2.50%. Transaction charges apply.
- Counsel Account: Fees are negotiable, with a maximum annual fee of 2.50%. This is a wrap account, so the fee covers both advice and transactions.
- Partner Program: Access to third-party managers with varying fees. Osaic either receives a portion of the fee or charges a separate consulting fee.
- Plan Participant Retirement Program: Maximum 3% annual fee, either fixed or tiered, based on assets in your retirement plan account.
Location
2329 Hwy 34, Suite 303, Manasquan, NJ, 08736
Get directionsHistory
Regulatory History (4)
Judgment / Lien
May 2014Customer Dispute
September 2004Customer Dispute
April 1999Customer Dispute
November 1994Other Business ActivitiesSells Insurance
Ernest is the owner-operator of EMC Insurance Agency & Fin Svcs LLC, a full-service property, casualty, and life insurance agency, since 2006, dedicating full-time hours to it. He also serves as a board member of the Brick Police Athletic League, spending minimal time per month on this activity.
Employment History
Current Registrations
Osaic Advisory Services, LLC
Osaic Wealth, INC.Broker
Previous Registrations
Osaic Wealth, INC.
American Portfolios Advisors, INC
American Portfolios Financial Services, INC.Broker
National Securities CorporationBroker
Southeast Investments, N.c., INC.Broker
Southeast Investments, N.c., INC.Broker
Garden State Investment Advisory Services, LLC
Garden State Securities, INC.Broker
First Montauk Securities CORP.
First Montauk Securities CORP.Broker
Robert Thomas Securities, INCBroker
Gilford Securities IncorporatedBroker
First Hanover Securities, INC.Broker
Emanuel and CompanyBroker
Lehman Brothers INC.Broker
Prudential-Bache Securities INC.Broker
Philips, Appel & Walden, INC.Broker
State Registrations1 state
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.