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John Prokos

LPL Financial LLC
39 Years of Experience
Stuart, FL
2 DisclosuresBroker
View SEC Summary
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John Prokos is a registered investment advisor at LPL Financial LLC, based in Stuart, FL, with 39 years of industry experience. John 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

900 SE Ocean Blvd Ste 130D, Stuart, FL, 34994

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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.
Customer Dispute
April 2024
Settled
Customer Dispute
June 2021
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

John is associated with SOKORP, Inc. DBA Prokos Financial Services as a business entity for tax/investment purposes since 1989. He also operates under Lucia Capital Group as a DBA for his LPL business, dedicating full-time hours to this activity.

Employment History
Current Registrations
LPL Financial LLCBroker
September 2020 - Present · 6 yrs 1 mo
LPL Financial LLC
September 2020 - Present · 6 yrs 1 mo
Previous Registrations
Lucia Securities, LLCBroker
September 2011 - October 2020 · 9 yrs 1 mo
Lucia Capital Group
April 2010 - October 2020 · 10 yrs 6 mos
Raymond J. Lucia Companies, INC.
April 2009 - November 2010 · 1 yr 7 mos
Raymond J. Lucia Companies, INC.
April 2008 - July 2008 · 3 mos
First Allied Securities, INC.
March 2008 - April 2009 · 1 yr 1 mo
First Allied Securities, INC.Broker
February 2008 - December 2011 · 3 yrs 10 mos
Securities America Advisors, INC.
August 2007 - February 2008 · 6 mos
Raymond J. Lucia Companies, INC.
January 2006 - February 2008 · 2 yrs 1 mo
Rjl Advisors
May 2004 - March 2006 · 1 yr 10 mos
Securities America Advisors, INC.
July 2000 - August 2007 · 7 yrs 1 mo
Securities America, INC.Broker
January 1997 - February 2008 · 11 yrs 1 mo
Fsc Securities CorporationBroker
July 1995 - January 1997 · 1 yr 6 mos
Mutual Service CorporationBroker
March 1989 - July 1995 · 6 yrs 4 mos
Lowry Financial Services CorporationBroker
June 1987 - March 1989 · 1 yr 9 mos
State Registrations24 states
ALAZCACOCTFLGAILINLAMAMDMIMNMONCNJNYPARISCTNTXWA
AdvisorBrokerBoth

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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