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Joel Guerrero

Spc
23 Years of Experience
Brownsville, TX
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Joel Guerrero is a registered investment advisor at Spc, based in Brownsville, TX, with 23 years of industry experience. Joel is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 3 more. Their firm serves 30,916 clients with $6.1B in assets under management.

Spc
Compensation
Fee-Only (% of Portfolio)Fixed/Hourly
Firm Size
474 advisors
Number of Clients
30,916 clients
Average Client Portfolio
$197K average
Assets Under Management
$6.1B

Fee Structure

Minimum Investment:$5.5K
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.50%

The maximum annual advisory fee is 2.50%. Advisors set their own rates for each account up to this maximum limit. A 0.15% program fee is included within the total fee.

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

Location

5156 N. Expressway, Suite B, Brownsville, TX, 78526

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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
November 2020
Judgment / Lien
January 2020
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joel provides financial services and sells various insurance products through various insurance companies. This activity is investment-related.

Employment History
Current Registrations
Sigma Financial CorporationBroker
May 2011 - Present · 15 yrs 5 mos
Spc
May 2011 - Present · 15 yrs 5 mos
Previous Registrations
Gwm Group, INC.Broker
October 2010 - May 2011 · 7 mos
Great Nation Investment CorporationBroker
August 2010 - September 2010 · 1 mo
United Equity Securities, LLC
June 2010 - August 2010 · 2 mos
United Equity Securities, LLCBroker
March 2010 - August 2010 · 5 mos
Gunnallen Financial, INCBroker
June 2009 - March 2010 · 9 mos
Gunnallen Financial, INC
June 2009 - March 2010 · 9 mos
Wells Fargo Advisors, LLC
January 2008 - June 2009 · 1 yr 5 mos
Wells Fargo Advisors, LLCBroker
January 2008 - June 2009 · 1 yr 5 mos
A. G. Edwards & Sons, INC.
August 2003 - January 2008 · 4 yrs 5 mos
A. G. Edwards & Sons, INC.Broker
June 2003 - January 2008 · 4 yrs 7 mos
State Registrations1 state
TX
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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