JF
JF
Joseph Falcone is a registered investment advisor at LPL Financial LLC, based in Seymour, CT, with 26 years of industry experience. Joseph 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
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 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
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
Seymour, CT
Get directionsHistory
Regulatory History (1)
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Employment Separation After Allegations
November 2006Employment History
Current Registrations
LPL Financial LLCBroker
February 2019 - Present · 7 yrs 8 mos
LPL Financial LLC
February 2019 - Present · 7 yrs 8 mos
Previous Registrations
Waddell & Reed
March 2011 - January 2019 · 7 yrs 10 mos
Waddell & ReedBroker
March 2011 - January 2019 · 7 yrs 10 mos
Janney Montgomery Scott LLC
December 2006 - February 2011 · 4 yrs 2 mos
Janney Montgomery Scott LLCBroker
November 2006 - February 2011 · 4 yrs 3 mos
UBS Financial Services INC.
March 2000 - December 2006 · 6 yrs 9 mos
UBS Financial Services INC.Broker
December 1999 - December 2006 · 7 yrs
State Registrations7 states
CACTFLGAILNYRI
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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