Joey Soto
Joey Soto is a registered investment advisor at LPL Financial LLC, based in Houston, TX, with 27 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
5615 Kirby Dr., Houston, TX, 77005
Get directionsHistory
Regulatory History (2)
Judgment / Lien
October 2025Customer Dispute
February 2009Other Business ActivitiesSells Insurance
Joey operates under IBC Investment Services as a DBA for LPL business, dedicating a few hours per week during securities trading. He is also an agent for Brandon Brokerage, selling non-variable insurance, and spends minimal time on this. Additionally, Joey operates under Sergio J Soto as a DBA for LPL business, dedicating nearly full-time hours.
Employment History
Current Registrations
LPL Financial LLC
LPL Financial LLC
LPL Financial LLCBroker
Previous Registrations
Citigroup Global Markets INC.
Citigroup Global Markets INC.Broker
Hsbc Securities (USA) INC.Broker
Hsbc Securities (USA) INC.
Chase Investment Services CORP.
Chase Investment Services CORP.Broker
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC.
Cuso Financial Services, L.P.
Cuso Financial Services, L.P.Broker
Bancwest Investment Services, INC.Broker
Bancwest Investment Services, INC.
Linsco/private Ledger CORP.
Linsco/private Ledger CORP.Broker
Banc of America Investment Services, INC.
Banc of America Investment Services, INC.Broker
Ba Investment Services, INC.Broker
State Registrations10 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.