Joseph Modica
Joseph Modica is a CFP-designated registered investment advisor at Modica Financial Services, based in Lebanon, TN, with 7 years of industry experience. Joseph operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Financial Planning & Coaching, Insurance Planning, Investment Management, and 2 more. Their firm serves 12 clients with $3.1M in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 1.60% |
| $250K - $500K | 1.60% |
| $500K - $1.5M | 1.00% |
| $1.5M+ | 0.80% |
All fees are negotiable.
Fee Estimator
Location
Lebanon, TN
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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
Joseph is licensed to sell insurance products, dedicating a few hours per week to this activity. He also spends about 10-20% of his time preparing income taxes and doing audit representation.
Employment History
Current Registrations
Modica Financial Services
Previous Registrations
Modica Financial & Tax Services
State Registrations2 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.