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CFP
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CFP

Joshua Stein

LPL Financial LLC
21 Years of Experience
Canonsburg, PA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Joshua Stein is a CFP-designated registered investment advisor at LPL Financial LLC, based in Canonsburg, PA, with 21 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 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

1700 Ashwood Drive, Ste 1701, Canonsburg, PA, 15317

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History

Regulatory History (1)
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
November 2007
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Joshua operates Stein Wealth Advisors, LLC as a DBA for his LPL business and sells non-variable insurance products including life, health, disability, long-term care, and annuities. He also co-owns Stein Wealth Management, LLC, a real estate rental business, and owns Stein Time, LLC. Joshua spends minimal time on the insurance and real estate activities.

Employment History
Current Registrations
LPL Financial LLC
December 2022 - Present · 3 yrs 10 mos
LPL Financial LLCBroker
December 2022 - Present · 3 yrs 10 mos
Previous Registrations
Newedge Advisors
November 2021 - December 2022 · 1 yr 1 mo
Newedge Securities, INC.Broker
February 2013 - December 2022 · 9 yrs 10 mos
Mid Atlantic Financial Management, INC.
February 2013 - November 2021 · 8 yrs 9 mos
New England Securities Corporation
October 2011 - February 2013 · 1 yr 4 mos
New England SecuritiesBroker
September 2011 - February 2013 · 1 yr 5 mos
Prudential Financial Planning Services
January 2011 - September 2011 · 8 mos
Pruco Securities, LLC.Broker
August 2009 - September 2011 · 2 yrs 1 mo
Natcity Investments, INC.Broker
March 2009 - August 2009 · 5 mos
Natcity Investments, INC.
March 2009 - August 2009 · 5 mos
H Financial Management
February 2009 - March 2009 · 1 mo
Multi-Financial Securities Corporation
July 2008 - December 2008 · 5 mos
Multi-Financial Securities CorporationBroker
July 2008 - December 2008 · 5 mos
Ameriprise Financial Services, INC.Broker
April 2005 - July 2008 · 3 yrs 3 mos
Ameriprise Financial Services, INC.
April 2005 - July 2008 · 3 yrs 3 mos
Ids Life Insurance CompanyBroker
April 2005 - July 2006 · 1 yr 3 mos
State Registrations21 states
AZCACTFLILKYMAMDNCNJNVNYOHPASCTXUTVAWAWIWV
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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