Joseph Carl Spataro
Investment adviser representative at LPL Financial LLC
15 yearsExperience
29 statesRegistered in
$819.1BFirm assets
51 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assetsHourlyFixed or flat fee
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Financial planning
- Portfolio management
- Seminars and workshops
Experience
15 years in the industry.
- LPL Financial LLCJul 2021 to now
- Wicker Park Bucktown Chamber of CommerceJan 2014 to Sep 2020
- Various Insurance Carriers for W & R Insurance AgenciesJul 2011 to Jul 2021
- Waddell & Reed IncJul 2011 to Jul 2021
Exams passed
- Series 63 · Uniform Securities Agent State Law2010
- Series 65 · Uniform Investment Adviser Law2011
State registrations
Registered as an investment adviser representative in 29 states (AL, CA, CO, CT, DE, FL, GA, IA, IL, IN, KS, KY, LA, MD, MI, MN, MO, MS, NC, NJ, NV, OH, PA, SC, TX, VA, WA, WI, WV).
LPL Financial LLC
$819.1BAssets managed
1,986,990Clients
22,674Advisers
51 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 5767812
- Firm CRD
- 6413