JH
JH
Jose Huerfano
25 Years of Experience
New York, NY
5 DisclosuresBroker
Jose Huerfano is a registered investment advisor at J.P. Morgan Securities LLC, based in New York, NY, with 25 years of industry experience. Jose is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning, Socially Responsible Investing. Their firm serves 1,246,646 clients with $430B in assets under management.
Compensation
Fee-Only (% of Portfolio)
Firm Size
14260 advisors
Number of Clients
1,246,646 clients
Average Client Portfolio
$345K average
Assets Under Management
$429.7B
Fee Structure
Minimum Investment:$25K
Planning is included in investment management
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $250K | 0.60% |
| $250K+ | 0.50% |
Clients with $1,000,000 or more as of May 31, 2024, continue to pay 0.40%.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
60 East 42nd St, New York, NY, 10165
Get directionsHistory
Regulatory History (5)
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.
Customer Dispute
April 2024Denied
Customer Dispute
October 2022Denied
Customer Dispute
May 2019Denied
Customer Dispute
April 2019Denied
Customer Dispute
February 2017Denied
Employment History
Current Registrations
J.P. Morgan Securities LLCBroker
October 2012 - Present · 14 yrs
J.P. Morgan Securities LLC
October 2012 - Present · 14 yrs
Previous Registrations
Chase Investment Services CORP.Broker
October 2010 - October 2012 · 2 yrs
Chase Investment Services CORP.
October 2010 - October 2012 · 2 yrs
Banc of America Investment Services, INC.Broker
November 2005 - April 2009 · 3 yrs 5 mos
Banc of America Investment Services, INC.
November 2005 - April 2009 · 3 yrs 5 mos
Tower Square Securities, INC.
January 2005 - October 2005 · 9 mos
Tower Square Securities, INC.Broker
January 2005 - October 2005 · 9 mos
Ladenburg Thalmann Asset Management INC
August 2004 - February 2005 · 6 mos
Ladenburg, Thalmann & CO., INC.Broker
November 2002 - December 2004 · 2 yrs 1 mo
Ladenburg Capital Management INC.Broker
January 2000 - November 2002 · 2 yrs 10 mos
State Registrations32 states
ALAZCACOCTDCDEFLGAIAILINMAMDMEMINCNENHNJNVNYOHORPARISCTXUTVAVTWA
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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