John Farley is a registered investment advisor at LPL Financial LLC, based in Portsmouth, RI, with 38 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
Portsmouth, RI
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Regulatory History (1)
Customer Dispute
October 2003Other Business Activities
John owns John C Farley Photography since 2017 and Portsmouth Woodworks since 2020, dedicating minimal time to each. He also operates Newport Wealth Management as a DBA for his LPL business, but spends no time on it separately.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Stifel, Nicolaus & Company, IncorporatedBroker
Stifel, Nicolaus & Company, Incorporated
Advest, INC.
Advest, INC.Broker
First Montauk Securities CORP.Broker
First American Capital Resources, INC.Broker
First Investors CorporationBroker
State Registrations14 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.