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Joe Woods

LPL Financial LLC
38 Years of Experience
Coronado, CA
2 DisclosuresBroker
View SEC Summary
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Joe Woods is a registered investment advisor at LPL Financial LLC, based in Coronado, CA, with 38 years of industry experience. Joe 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

1011 C Avenue, Coronado, CA, 92118

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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
February 2006
Award / Judgment
Customer Dispute
March 2001
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joe operates Woods Capital Partners as a DBA for his LPL business and owns Woods Inc for tax/investment purposes, dedicating a few hours per week to the latter. He also coaches middle school soccer, spending about a quarter of his time on this activity.

Employment History
Current Registrations
LPL Financial LLC
February 2025 - Present · 1 yr 8 mos
LPL Financial LLCBroker
February 2025 - Present · 1 yr 8 mos
Previous Registrations
Raymond James Financial Services Advisors, INC
January 2009 - February 2025 · 16 yrs 1 mo
Raymond James Financial Services
July 2002 - January 2009 · 6 yrs 6 mos
Raymond James Financial Services, INC.Broker
January 1999 - February 2025 · 26 yrs 1 mo
Robert Thomas Securities, INCBroker
June 1995 - January 1999 · 3 yrs 7 mos
Edward D. Jones & CO., L.P.Broker
April 1991 - June 1995 · 4 yrs 2 mos
Marketing One Securities, INC.Broker
December 1990 - April 1991 · 4 mos
Lehman Brothers INC.Broker
May 1989 - January 1991 · 1 yr 8 mos
J. T. Moran & CO., INC.Broker
May 1988 - April 1989 · 11 mos
Sherwood Capital, INC.Broker
April 1988 - May 1988 · 1 mo
State Registrations43 states
ALAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMIMNMOMSMTNCNDNJNMNVNYOHOKORPARISCTNTXUTVAVTWAWI
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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