Joseph Smith
Joseph Smith is a CFP-designated registered investment advisor at LPL Financial LLC, based in Madison, NJ, with 42 years of industry experience. Joseph is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
14 Main Street, Suite 305B, Madison, NJ, 07940
Get directionsHistory
Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Joseph is an insurance agent selling term life, cash value life, and long-term care insurance, dedicating minimal time to this activity. He is also a paid employee at Russo & Associates, where he audits municipal payroll records, spending about 10-20% of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
A. G. Edwards & Sons, INC.
A. G. Edwards & Sons, INC.Broker
Morgan Stanley
Morgan Stanley Dw INC.Broker
Credit Suisse First Boston CorporationBroker
Donaldson, Lufkin & Jenrette Securities CorporationBroker
State Registrations9 states
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
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