Joseph Ponce is a registered investment advisor at LPL Financial LLC, based in Scottsdale, AZ, with 15 years of industry experience. Their practice areas include Investment Management. Their firm serves 1,676,192 clients with $620B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
LPL Financial, along with your advisor, charges an annual fee based on the value of your account. This fee covers asset management, administrative, and custodial services. The fee is negotiable, but the maximum is 2.50% per year, paid quarterly in advance. LPL may share a portion of this fee with your advisor.
Location
7033 E Greenway Parkway, Suite 130, Scottsdale, AZ, 85254
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
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Joseph operates GPL Asset Management as a DBA for his LPL business since September 2021. He also formed J1633 LLC in November 2021 for tax/investment purposes, dedicating nearly full-time hours to it, including some during securities trading hours.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Wells Fargo Clearing Services, LLC
Wells Fargo Clearing Services, LLCBroker
Umb Financial Services, INC.
Umb Financial Services, INC.Broker
Wells Fargo Advisors, LLCBroker
State Registrations11 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.