Matthew Caruso
Matthew Caruso is a CFP, ChFC-designated registered investment advisor at LPL Financial LLC, based in Newburgh, NY, with 20 years of industry experience. Matthew is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 1,986,990 clients with $820B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Flat)
| Portfolio Value | Annual Fee |
|---|---|
| Any | 2.50% |
The maximum account fee is 2.50% and is negotiable between the client and the advisor. Fees are based on total assets in the account and payable quarterly in advance.
Fee Estimator
Location
276 Route 17K, Newburgh, NY, 12550-2318
Get directionsHistory
Regulatory History (2)
Financial
March 2017Customer Dispute
December 2014Other Business ActivitiesSells Insurance
Matthew operates his LPL business under the DBA WealthTrust Financial, dedicating full-time hours to it. He is also the sole LLC member of RWH Holdings, LLC, a business entity for tax/investment purposes, requiring minimal time, and sells non-variable insurance through WealthTrust Financial, requiring minimal time.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Cambridge Investment Research, INC.Broker
Cambridge Investment Research Advisors, INC.
AXA Advisors, LLC
AXA Advisors, LLCBroker
State Registrations18 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.
Exams
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