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Joseph Robert Guarino

LPL Enterprise, LLC

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About Joseph Robert Guarino

Joseph Robert Guarino is a financial advisor registered with LPL Enterprise, LLC. Joseph has been in the financial services industry for 36 years. Prior to joining LPL Enterprise, LLC, Joseph was employed by Equitable Advisors, LLC, Wells Fargo Advisors, LLC, Raymond James & Associates, Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Joseph has obtained multiple licenses and certifications including Series 63, Series 66, Series 7, Series 24, and Series 55. Joseph provides financial planning, portfolio management for individuals and businesses, consulting, educational seminars, and other non-discretionary advisory services.

Firm Information

Joseph Guarino is currently registered with LPL Enterprise, LLC. LPL Enterprise, LLC is a Limited Liability Company registered in South Carolina and formed on May 25, 2023. They offer financial planning, educational seminars, portfolio management for individuals and businesses, and other consulting and non-discretionary advisory services. The firm is registered with the SEC and in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands. They have a total of 55 registered representatives and 12 investment advisor representatives. The firm participates in wrap fee programs.
LPL Enterprise, LLC

1055 LPL WAY

FORT MILL, SC 29715

Not reported

Assets Under Management

Not reported

Total Clients

50

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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consulting and other non-discretionary advisory services

Consulting and other non-discretionary advisory services

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Joseph Guarino’s Registration & Firm History

NY

11/14/2024 - Present

LPL Enterprise, LLC (NEW YORK NY)

NY

04/02/2014 - 04/03/2024

EQUITABLE ADVISORS, LLC (NEW YORK NY)

NJ

04/04/2013 - 03/31/2014

WELLS FARGO ADVISORS, LLC (MILLTOWN NJ)

NY

11/02/2004 - 04/10/2012

RAYMOND JAMES & ASSOCIATES, INC. (NEW YORK NY)

NY

10/15/2002 - 10/07/2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

01/24/2002 - 10/16/2002

HERZOG, HEINE, GEDULD, LLC (NEW YORK NY)

NY

03/24/1987 - 01/24/2002

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

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Licenses & Designations

BOTH

Issued 05/28/2020

Series 66 - Uniform Combined State Law Examination

BC

Issued 12/06/1988

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/04/1996

Series 24 - General Securities Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 11/11/1998

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/21/1987

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 8 public disclosures for Joseph Robert Guarino. Review regulatory record here.
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