Joan Bernstein
Joan Bernstein is a registered investment advisor at LPL Financial LLC, based in Westlake Village, CA, with 34 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
3717 E Thousand Oaks Blvd, Westlake Village, CA, 91362-3607
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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
Joan sells fixed insurance, long-term care (LTC) fixed annuities, and term insurance through Freedom Wealth Management, Inc., dedicating about 10-20% of her time. She also has real estate rental activities through Strategic Growth Partners, LLC.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
RBC Capital Markets Corporation
RBC Capital Markets CorporationBroker
Sutro & CO. IncorporatedBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations12 states
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