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Joseph Ferreira

LPL Financial LLC
17 Years of Experience
Westwood, MA
1 DisclosureBroker
View SEC Summary
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Joseph Ferreira is a registered investment advisor at LPL Financial LLC, based in Westwood, MA, with 17 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

200 Lowder Brook Dr Ste 2100, Westwood, MA, 02090

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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
May 2016
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph operates under two DBAs for his LPL business: Ferreira Financial Services LLC and Bay Financial Associates. He dedicates about 10-20% of his time to Ferreira Financial Services and full-time to Bay Financial Associates.

Employment History
Current Registrations
LPL Financial LLC
January 2016 - Present · 10 yrs 9 mos
LPL Financial LLC
January 2016 - Present · 10 yrs 9 mos
LPL Financial LLCBroker
January 2016 - Present · 10 yrs 9 mos
Previous Registrations
Citizens Securities, INC.
December 2011 - January 2016 · 4 yrs 1 mo
Citizens Securities, INC.Broker
December 2011 - January 2016 · 4 yrs 1 mo
Edward Jones
May 2009 - November 2011 · 2 yrs 6 mos
Edward JonesBroker
April 2009 - November 2011 · 2 yrs 7 mos
State Registrations14 states
ALCTDCFLGAMAMENCNHNYSCTXVAVT
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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