Joseph Faller
Joseph Faller is a registered investment advisor at LPL Financial LLC, based in Southampton, NY, with 36 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
295 North Sea Road - Suite 101, Southampton, NY, 11968
Get directionsHistory
Regulatory History (3)
Customer Dispute
January 2012Customer Dispute
September 2011Customer Dispute
March 1999Other Business Activities
Joseph works as a financial advisor for Willmington Advisors at M&T, a DBA for his LPL business. This is an investment-related activity and consumes nearly all of Joseph's time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
People's Securities, INC.Broker
People's United Advisors, INC.
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
M&t Securities, INC.Broker
Wachovia Securities, LLCBroker
Prudential Securities IncorporatedBroker
Chase Investment Services CORP.Broker
Gna Securities, INC.Broker
Oppenheimerfunds Distributor, INC.Broker
State Registrations11 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.