Joseph Bethmann
Joseph Bethmann is a registered investment advisor at Principal Securities, INC., based in Clay, NY, with 15 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 51,941 clients with $17B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $150K | 1.75% |
| $150K - $250K | 1.75% |
| $250K - $500K | 1.75% |
| $500K - $1000K | 1.20% |
| $1M+ | 1.10% |
Fees are negotiable and collected quarterly in arrears. Schedule reflects the SEI Managed Account Solutions program maximum fees. Other programs utilize promoter fees ranging from 0.07% to 1.50% or asset-based fees up to 1.95%.
Fee Estimator
Location
7900 Davis Rd N Ste 2, Clay, NY, 13041
Get directionsHistory
Regulatory History (3)
Judgment / Lien
January 2025Judgment / Lien
October 2016Customer Dispute
February 2015Other Business ActivitiesSells Insurance
Joseph sells insurance products, including life, disability, and fixed annuities, since 2015, and Medicare since 2020, dedicating about 10-20% of his time. He is also a real estate agent since 2021, spending a few hours per week helping people buy, sell, and purchase rental properties.
Employment History
Current Registrations
Principal Securities, INC.
Principal Securities, INC.Broker
State Registrations20 states
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.