Joseph Guarino
Joseph Guarino is a registered investment advisor at LPL Enterprise, LLC, based in New York, NY, with 37 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Education Planning, Estate Planning, Investment Management, Retirement Planning, and 1 more. Their firm serves 86,726 clients with $19B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPLE provides access to investment management through third-party asset management programs (TAMPs) and LPL's Model Wealth Portfolios (MWP). For TAMPs, the fees are negotiated with the LPLE representative, typically up to 2% of the assets managed, but may be higher in certain circumstances. The TAMP sponsor also charges a fee. For MWP, clients are charged an annual account fee that includes an advisory fee (maximum 2.35% and is negotiable) and a manager fee (0% to 0.60%).
Location
1270 Avenue of the Americas, Ste 1000, New York, NY, 10020
Get directionsHistory
Regulatory History (7)
Financial
June 2022Financial
April 2022Financial
June 2019Financial
April 2019Financial
March 2019Financial
February 2019Financial
September 2018Other Business Activities
Joseph is the Chief Operating Officer of AIMS, a medical technology information company, since January 2021. He dedicates about 10-20% of his time to this role, primarily working on weekends.
Employment History
Current Registrations
LPL Enterprise, LLC
LPL Enterprise, LLCBroker
Previous Registrations
Prudential Financial Planning Services
Pruco Securities, LLC.Broker
Equitable Advisors, LLC
Equitable Advisors, LLCBroker
Wells Fargo Advisors, LLCBroker
Raymond James & Associates, INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Herzog, Heine, Geduld, LLCBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations12 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.