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Joshua Bradley

Merrill Lynch, Pierce, Fenner & Smith Incorporated
24 Years of Experience
Scranton, PA
2 DisclosuresBroker
View SEC Summary
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Joshua Bradley is a registered investment advisor at Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in Scranton, PA, with 24 years of industry experience. Joshua is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include High Net Worth, Investment Management, Retirement Planning. Their firm serves 1,838,984 clients with $1800B in assets under management.

Merrill Lynch, Pierce, Fenner & Smith Incorporated
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
25502 advisors
Number of Clients
1,838,984 clients
Average Client Portfolio
$969K average
Assets Under Management
$1781.6B

Fee Structure

Investment management only (planning not offered)

Managed Account Advisors and Merrill Lynch charge an asset-based fee called the Account Fee, which consists of two parts:

  • Investment Management and Trust Fee — Paid to Bank of America for its services, with rates set in your client agreement and subject to negotiation based on your portfolio value and account size.
  • Style Manager Expense — Paid to the specific manager of your chosen strategy, generally ranging from 0.00% to 0.50% per year, and does not change based on portfolio size.

Total fees vary depending on the specific strategies and account size, and are deducted directly from your account on a regular basis.

View Full SEC Brochure

Location

417 Lackawanna Ave, Scranton, PA, 18503

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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.
Financial
September 2017
Final
Customer Dispute
June 2016
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joshua owns and operates a personal farm, buying/selling livestock and growing produce since 2022. He dedicates a few hours per week to this activity.

Employment History
Current Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2018 - Present · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
January 2018 - Present · 8 yrs 9 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 2018 - Present · 8 yrs 9 mos
Previous Registrations
Invest Financial Corporation
May 2017 - January 2018 · 8 mos
Invest Financial CorporationBroker
May 2016 - January 2018 · 1 yr 8 mos
LPL Financial LLCBroker
October 2004 - February 2016 · 11 yrs 4 mos
Janney Montgomery Scott LLCBroker
February 2003 - November 2004 · 1 yr 9 mos
Morgan Stanley Dw INC.Broker
August 2001 - February 2003 · 1 yr 6 mos
State Registrations53 states
AKALARAZCACOCTDCDEFLGAHIIAIDILINKSKYLAMAMDMEMIMNMOMSMTNCNDNENHNJNMNVNYOHOKORPAPRRISCSDTNTXUTVAVTVirgin IslandsWAWIWVWY
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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