Joshua Carter is a registered investment advisor at LPL Financial LLC, based in Moline, IL, with 13 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
3950 38th Avenue, Moline, IL, 61265
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Regulatory History
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
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Joshua operates under two DBAs for LPL business: DECU Investment and Retirement Services since 2002, and Empeople Investment & Retirement Services since 2023, dedicating full-time hours to each. He also plays in a cover band called Threat Level Midnight, spending a few hours per week on this non-investment related activity.
Employment History
Current Registrations
LPL Financial LLCBroker
LPL Financial LLC
Previous Registrations
Invest Financial Corporation
Invest Financial CorporationBroker
Morgan Stanley
Morgan StanleyBroker
State Registrations38 states
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