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Joanne Astle

Commonwealth Financial Network
48 Years of Experience
Portland, OR
4 DisclosuresBroker
View SEC Summary
View SEC Summary

Joanne Astle is a registered investment advisor at Commonwealth Financial Network, based in Portland, OR, with 48 years of industry experience. Joanne is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

2175 NW Raleigh Street, Suite 110, Portland, OR, 97210

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History

Regulatory History (4)
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
September 2015
Denied
Customer Dispute
March 2014
Settled
Customer Dispute
October 2013
Settled
Customer Dispute
February 1992
Settled
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joanne is part owner of Astle Investment Management, Inc., an entity created for securities business. This activity is investment related and conducted at the branch.

Employment History
Current Registrations
Commonwealth Financial Network
August 2015 - Present · 11 yrs 2 mos
Commonwealth Financial NetworkBroker
August 2015 - Present · 11 yrs 2 mos
Commonwealth Financial Network
August 2015 - Present · 11 yrs 2 mos
Previous Registrations
Raymond James & Associates, INC.Broker
February 2014 - July 2015 · 1 yr 5 mos
Raymond James & Associates, INC.
February 2014 - July 2015 · 1 yr 5 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2007 - February 2014 · 6 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2007 - February 2014 · 6 yrs 3 mos
Citigroup Global Markets INC.
July 1997 - December 2007 · 10 yrs 5 mos
Citigroup Global Markets INC.Broker
December 1992 - December 2007 · 15 yrs
Prudential Securities IncorporatedBroker
July 1990 - December 1992 · 2 yrs 5 mos
Sutro & CO. IncorporatedBroker
May 1988 - July 1990 · 2 yrs 2 mos
Drexel Burnham Lambert IncorporatedBroker
October 1986 - June 1988 · 1 yr 8 mos
Smith Barney, Harris Upham & CO., IncorporatedBroker
October 1982 - October 1986 · 4 yrs
Dean Witter Reynolds INC.Broker
May 1978 - November 1982 · 4 yrs 6 mos
State Registrations4 states
AZCANVOR
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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