Joseph Gugino, financial advisor Fredonia NY

Joseph Gugino

CRD Number: 5748486
Current Firm: Commonwealth Financial Network

Joseph Gugino (CRD# 5748486) is an Investment Advisor Representative working at Commonwealth Financial Network in Fredonia, NY and has over 14 years of experience in the finance industry. Joseph Gugino has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Commonwealth Financial Network Waltham, MA Aug 2021 - Current 2
Commonwealth Financial Network Waltham, MA Aug 2016 - Aug 2021 5
Metlife Securities Inc. Fredonia, NY Jan 2015 - Aug 2016 1
New England Securities Williamsville, NY Jan 2010 - Aug 2016 6
Exam Code Name Passed Date
S66 NASAA Uniform Combined State Law Examination Mar 2010
Contact Info for Joseph L. Gugino
Phone Number: 781-736-0700
Registered State(s):
  • NY
By the Numbers
  • Total Assets Under Management
    146,387
    MILLIONS
  • Total Number of Accounts
    585,629
    ACCOUNTS
  • Average Account Value
    $249,965
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY

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