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Josh Frankel

Trustmont Advisory Group, INC.
30 Years of Experience
East Setauket, NY
1 DisclosureBrokerSells Insurance
View SEC Summary
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Josh Frankel is a registered investment advisor at Trustmont Advisory Group, INC., based in East Setauket, NY, with 30 years of industry experience. Josh is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Business Owners, Education Planning, Estate Planning, High Net Worth, and 4 more. Their firm serves 4,322 clients with $1.4B in assets under management.

Trustmont Advisory Group, INC.
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
65 advisors
Number of Clients
4,322 clients
Average Client Portfolio
$323K average
Assets Under Management
$1.4B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.00%

Maximum annual fee is 2% of assets managed. Fees may vary depending on the specific advisor chosen.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
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Location

East Setauket, NY

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Employment Separation After Allegations
October 2010
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Josh sells fixed insurance products, including life, annuities, property & casualty (P&C), and disability insurance, through various insurance companies under the DBA The Princeton Insurance Agency, Inc. This takes about 10-20% of his time, with 1 hour during securities trading hours.

Employment History
Current Registrations
Trustmont Advisory Group, INC.
July 2019 - Present · 7 yrs 3 mos
Trustmont Financial Group, INC.Broker
July 2019 - Present · 7 yrs 3 mos
Trustmont Financial Group, INC.
July 2019 - Present · 7 yrs 3 mos
Previous Registrations
Capital Financial Services, INC.
January 2017 - July 2019 · 2 yrs 6 mos
Capital Financial Services, INC.Broker
January 2017 - July 2019 · 2 yrs 6 mos
Partners Capital Services, INC.
September 2012 - January 2017 · 4 yrs 4 mos
American Capital Partners, LLCBroker
November 2010 - January 2017 · 6 yrs 2 mos
Hsbc Securities (USA) INC.
March 2010 - October 2010 · 7 mos
Hsbc Securities (USA) INC.Broker
November 2009 - October 2010 · 11 mos
MML Investors Services, INC.Broker
September 2009 - October 2009 · 1 mo
North Ridge Securities CORP.Broker
January 2009 - June 2009 · 5 mos
Wamu Investments, INC.
January 2008 - January 2009 · 1 yr
Wamu Investments, INC.Broker
January 2008 - January 2009 · 1 yr
Hsbc Securities (USA) INC.
June 2006 - February 2008 · 1 yr 8 mos
Hsbc Securities (USA) INC.Broker
April 2006 - February 2008 · 1 yr 10 mos
Chase Investment Services CORP.
June 1998 - April 2006 · 7 yrs 10 mos
Chase Investment Services CORP.Broker
January 1998 - April 2006 · 8 yrs 3 mos
Independent Financial Securities, INC.Broker
July 1997 - January 1998 · 6 mos
Northwestern Mutual Investment Services, INC.Broker
May 1996 - July 1997 · 1 yr 2 mos
Robert W. Baird & CO. IncorporatedBroker
May 1996 - July 1997 · 1 yr 2 mos
Marlowe & CompanyBroker
August 1995 - October 1995 · 2 mos
State Registrations5 states
CTFLNJNYPA
AdvisorBrokerBoth

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
No exam information available for this advisor.
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