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Joey Soto

LPL Financial LLC
27 Years of Experience
Houston, TX
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joey Soto is a registered investment advisor at LPL Financial LLC, based in Houston, TX, with 27 years of industry experience. Joey 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.

LPL Financial LLC
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
28221 advisors
Number of Clients
1,986,990 clients
Average Client Portfolio
$412K average
Assets Under Management
$819.1B

Fee Structure

Minimum Investment:$1K
Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

5615 Kirby Dr., Houston, TX, 77005

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History

Regulatory History (2)
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.
Judgment / Lien
October 2025
Customer Dispute
February 2009
Settled
View Full SEC ReportHow to Read Disclosures
Other 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
November 2015 - Present · 10 yrs 11 mos
LPL Financial LLC
October 2015 - Present · 11 yrs
LPL Financial LLCBroker
October 2015 - Present · 11 yrs
Previous Registrations
Citigroup Global Markets INC.
December 2012 - November 2015 · 2 yrs 11 mos
Citigroup Global Markets INC.Broker
November 2012 - November 2015 · 3 yrs
Hsbc Securities (USA) INC.Broker
July 2012 - November 2012 · 4 mos
Hsbc Securities (USA) INC.
July 2012 - November 2012 · 4 mos
Chase Investment Services CORP.
May 2007 - June 2012 · 5 yrs 1 mo
Chase Investment Services CORP.Broker
April 2007 - June 2012 · 5 yrs 2 mos
Bancwest Investment Services, INC.Broker
July 2006 - April 2007 · 9 mos
Bancwest Investment Services, INC.
July 2006 - April 2007 · 9 mos
Cuso Financial Services, L.P.
March 2006 - June 2006 · 3 mos
Cuso Financial Services, L.P.Broker
March 2006 - June 2006 · 3 mos
Bancwest Investment Services, INC.Broker
November 2003 - February 2006 · 2 yrs 3 mos
Bancwest Investment Services, INC.
November 2003 - July 2004 · 8 mos
Linsco/private Ledger CORP.
June 2002 - November 2003 · 1 yr 5 mos
Linsco/private Ledger CORP.Broker
June 2002 - November 2003 · 1 yr 5 mos
Banc of America Investment Services, INC.
September 2000 - October 2002 · 2 yrs 1 mo
Banc of America Investment Services, INC.Broker
July 1999 - October 2002 · 3 yrs 3 mos
Ba Investment Services, INC.Broker
October 1998 - July 1999 · 9 mos
State Registrations10 states
CACOILLAOKSCTXWAWIWY
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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