Joseph Robert Guarino

Employer firm

LPl Enterprise, LLC CRD 8733

$24.9B regulatory AUM 12,118 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

• 03/2014 → 06/2020
  Axa Advisors, Llc.
  New York, NY
• 03/2014 → 03/2024
  Equitable Advisors, Llc
  New York, NY
• 04/2024 → 11/2024
  Pruco Securities, Llc.
  New York, NY
• 04/2024 → Present
  The Prudential Insurance Company Of America
  New York, NY
• 11/2024 → Present
  Lpl Enterprise, Llc
  New York, NY

Previous Registrations

• 2024-04-05 → 2024-11-14
  Pruco Securities, Llc.
  New York, NY
• 2020-06-18 → 2024-04-03
  Equitable Advisors, Llc
  New York, NY

Other Businesses

AIMS-Chief Operating Officer - The company is a medical technology information company. The address is 1216 Broadway New York NY. .Position COO. Start Date 1, 2021. Hours per month 15. Most work done on weekends 12 hrs Hours during week 3 hrs.. Duties include oversee operational areas of ??rm and relationship management of clients.

Exams

• S66 Uniform Combined State Law Examination
  2020-05-28
• S63 Uniform Securities Agent State Law Examination
  1988-12-06