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Joseph Trotta

LPL Financial LLC
52 Years of Experience
Jupiter, FL
5 DisclosuresBrokerSells Insurance
View SEC Summary
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Joseph Trotta is a registered investment advisor at LPL Financial LLC, based in Jupiter, FL, with 52 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.

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

725 N Hwy A1A Ste E207, Jupiter, FL, 33477

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History

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
July 2024
Denied
Customer Dispute
March 2021
Settled
Customer Dispute
March 2005
Settled
Customer Dispute
February 2000
Denied
Regulatory
April 1980
Final
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joseph is involved with outside fixed insurance and Oceanview Management LLC. The filing does not specify the nature or time commitment of these activities.

Employment History
Current Registrations
LPL Financial LLC
May 2006 - Present · 20 yrs 5 mos
LPL Financial LLCBroker
April 2006 - Present · 20 yrs 6 mos
Previous Registrations
Raymond James Financial Services
March 1992 - May 2006 · 14 yrs 2 mos
Raymond James Financial Services, INC.Broker
March 1992 - May 2006 · 14 yrs 2 mos
Ifg Network Securities, INC.Broker
December 1990 - December 1991 · 1 yr
Investors Asset Management, INC.Broker
March 1986 - November 1990 · 4 yrs 8 mos
Manequity, INC.Broker
June 1985 - July 1986 · 1 yr 1 mo
First Park Equities, INC.Broker
June 1983 - March 1986 · 2 yrs 9 mos
St. Paul Investors, INC.Broker
April 1982 - November 1983 · 1 yr 7 mos
John Hancock Distributors, INC.Broker
April 1974 - August 1986 · 12 yrs 4 mos
John Hancock Mutual Life Insurance CompanyBroker
April 1974 - November 1981 · 7 yrs 7 mos
State Registrations19 states
AZCOCTDEFLGAKYMAMSNHNJNMNYOHPASCTXVAWA
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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