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Joseph Esposito

Raymond James Financial Services Advisors, INC
47 Years of Experience
Clarks Summit, PA
3 DisclosuresBroker
View SEC Summary
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Joseph Esposito is a registered investment advisor at Raymond James Financial Services Advisors, INC, based in Clarks Summit, PA, with 47 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 Business Owners, Education Planning, Estate Planning, Financial Planning & Coaching, and 5 more. Their firm serves 508,439 clients with $390B in assets under management.

Raymond James Financial Services Advisors, INC
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
6724 advisors
Number of Clients
508,439 clients
Average Client Portfolio
$767K average
Assets Under Management
$390.0B

Fee Structure

Minimum Investment:None
Planning is included in investment management (also available separately)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.25%

Maximum annual fee percentage is 2.25% of assets under advisement. Specific fees are negotiable with your financial advisor based on time, complexity, and portfolio size.

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

Location

200 Abingon Executive Park, Clarks Summit, PA, 18411

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History

Regulatory History (3)
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
June 2017
Settled
Criminal
April 2002
Final Disposition
Customer Dispute
October 1998
Denied
View Full SEC ReportHow to Read Disclosures
Other Business Activities

Joseph holds a political office with Exeter Borough Council since 2016 and is a general partner of hjfs wolfe llc. He also serves as a board member and committee member for Luzerne County Community College since 2022, which is investment-related.

Employment History
Current Registrations
Raymond James Financial Services Advisors, INC
August 2016 - Present · 10 yrs 2 mos
Raymond James Financial Services, INC.Broker
August 2016 - Present · 10 yrs 2 mos
Previous Registrations
Wells Fargo Advisors, LLC
October 2004 - August 2016 · 11 yrs 10 mos
Wells Fargo Advisors, LLCBroker
July 2003 - August 2016 · 13 yrs 1 mo
Prudential Securities IncorporatedBroker
August 1989 - July 2003 · 13 yrs 11 mos
Thomson Mckinnon Securities INC.Broker
January 1979 - August 1989 · 10 yrs 7 mos
State Registrations15 states
CADEFLILKSKYNCNJNYPARISCTXVAWA
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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