Judith Tocco is a CFP-designated registered investment advisor at LPL Financial LLC, based in Tucson, AZ, with 37 years of industry experience. Judith 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.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
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
Location
1647 N Swan Rd, Tucson, AZ, 85712-4046
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Other Business ActivitiesSells Insurance
Judith sells non-variable life insurance since 2005 and provides notary services to clients as needed. She also has several business entities for tax/investment purposes and DBAs for her LPL business, dedicating full-time hours to these activities.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Linsco/private Ledger CORP.Broker
CUNA Brokerage Services, INC.Broker
Aegon USA Securities INC.Broker
State Registrations23 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.
Exams
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