Rocco Addona
Rocco Addona is a registered investment advisor at LPL Financial LLC, based in Scarsdale, NY, with 32 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
700 White Plains Rd Suits 255, Scarsdale, NY, 10583
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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
Rocco operates under the DBA AFM Advisor Grup for his LPL business. He is also an insurance agent selling non-variable insurance, dedicating minimal time, and provides tax preparation/accounting/CPA services, taking about half of his time.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Royal Alliance Associates, INC.
Royal Alliance Associates, INC.Broker
Prime Capital Services, INC.Broker
Royal Alliance Associates, INC.Broker
Joseph Stevens & Company, INC.Broker
First Hanover Securities, INC.Broker
Sands Brothers & CO., LTD.Broker
D. H. Blair & CO., INC.Broker
First Hanover Securities, INC.Broker
Thomas James Associates, INC.Broker
Josephthal Lyon & Ross IncorporatedBroker
D. H. Blair & CO., INC.Broker
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.