Joseph Geis
Joseph Geis is a registered investment advisor at LPL Financial LLC, based in Albany, NY, with 29 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
652 Albany Shaker Road, Albany, NY, 12211
Get directionsHistory
Regulatory History (2)
Customer Dispute
November 2008Customer Dispute
April 2008Other Business ActivitiesSells Insurance
Joseph operates Pioneer Wealth Management as a DBA for his LPL business, dedicating 100% of his time to it. He also owns a small family business selling products online, dedicating minimal time, and sells non-variable insurance through AIB, spending a few hours per week.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
LPL Financial LLC
LPL Financial LLCBroker
LPL Financial LLC
LPL Financial LLCBroker
Hsbc Securities (USA) INC.
Hsbc Securities (USA) INC.Broker
Hsbc Brokerage (USA) INC.Broker
Republic Financial Services CorporationBroker
Smith Barney INC.Broker
State Registrations9 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.