Joseph Anthony Rosio

Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Educational seminars
• CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2016 → 05/2020
  Avantax Investment Services
  Dallas, TX
• 09/2016 → 05/2020
  Avantax Advisory Services
  Dallas, TX
• 04/2017 → 05/2020
  Joseph A. Rosio
  Dallas, TX
• 06/2018 → 05/2020
  Hd Vest Insurance Agency, Llc
  Dallas, TX
• 06/2010 → Present
  Department Of Defense-Defense Contract Management Agency
  Fort Lee, VA
• 06/2010 → 06/2018
  Department Of Defense-Defense Contract Audit Agency
  Irving, TX
• 04/2020 → 05/2020
  J.ROsio Advisory Services Llc
  Dallas, TX
• 06/2020 → 09/2020
  Waddell & Reed, Inc.
  Dallas, TX
• 06/2020 → 09/2020
  Various Insurance Carriers For W&R Insurance Agencies
  Dallas, TX
• 06/2020 → 08/2020
  Jimmy Lee
  Plano, TX
• 09/2020 → Present
  Lpl Financial, Llc
  Plano, TX

Previous Registrations

• 2020-06-11 → 2020-09-08
  Waddell & Reed
  Edmond, OK
  Plano, TX
  Dallas, TX
• 2016-09-20 → 2020-06-16
  Avantax Advisory Services
  Dallas, TX

Other Businesses

1. 09/03/2020 - DEPARTMENT OF DEFENSE-DEFENSE CONTRACT MANAGEMENT AGENCY/ OUTSIDE, W-2 EMPLOYMENT/ INVESTMENT RELATED/ 0%/ CORINTH, TX 2. 12/07/2023 - J. Rosio Tax Services LLC - Investment Related - Plano, TX 75093 - Tax Prep/Accounting/CPA - Owner - Started: 5/3/2011 - 25 Hours Per Month/0 Hours During Securities Trading

Exams

• S65 Uniform Investment Adviser Law Examination
  2016-09-16
• S63 Uniform Securities Agent State Law Examination
  2016-06-24

Other Names

• Joseph A Rosio