TrueAdvisor
TrueAdvisor
JG
JG

Joseph Guarino

LPL Enterprise, LLC
38 Years of Experience
New York, NY
7 DisclosuresBroker
View SEC Summary
View SEC Summary

Joseph Guarino is a registered investment advisor at LPL Enterprise, LLC, based in New York, NY, with 38 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 Divorce Planning, Education Planning, Estate Planning, Insurance Planning, and 3 more. Their firm serves 102,563 clients with $25B in assets under management.

LPL Enterprise, LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3138 advisors
Number of Clients
102,563 clients
Average Client Portfolio
$243K average
Assets Under Management
$24.9B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.35%

Maximum advisory fee for Model Wealth Portfolios is 2.35% and is negotiable, plus manager fees ranging from 0% to 0.60%. Third-party asset management fees typically max out at 2.0%.

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

Location

1270 Avenue of the Americas, Ste 1000, New York, NY, 10020

Get directions

History

Regulatory History (7)
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.
Financial
June 2022
Final
Financial
April 2022
Final
Financial
June 2019
Final
Financial
April 2019
Final
Financial
March 2019
Final
Financial
February 2019
Final
Financial
September 2018
Final
View Full SEC ReportHow to Read Disclosures
Other 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
November 2024 - Present · 1 yr 11 mos
LPL Enterprise, LLCBroker
November 2024 - Present · 1 yr 11 mos
Previous Registrations
Prudential Financial Planning Services
April 2024 - November 2024 · 7 mos
Pruco Securities, LLC.Broker
April 2024 - November 2024 · 7 mos
Equitable Advisors, LLC
June 2020 - April 2024 · 3 yrs 10 mos
Equitable Advisors, LLCBroker
April 2014 - April 2024 · 10 yrs
Wells Fargo Advisors, LLCBroker
April 2013 - March 2014 · 11 mos
Raymond James & Associates, INC.Broker
November 2004 - April 2012 · 7 yrs 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
October 2002 - October 2004 · 2 yrs
Herzog, Heine, Geduld, LLCBroker
January 2002 - October 2002 · 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1987 - January 2002 · 14 yrs 10 mos
State Registrations12 states
CACTFLGAIAMDNJNYOKPATXVA
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.
More Advisors
More financial advisors in New York, NY →All financial advisors in New York →