Joseph Eisler: FINRA Investigates LPL Advisor

A recent investigation into Blue Bell, Pennsylvania financial advisor Joseph Eisler (CRD# 2503507) concerns allegations of improper sharing in customer profits. Financial Industry Regulatory Authority records show that he is registered as a broker and an investment advisor with LPL Financial, doing business as Gladstone Wealth Partners.

Mr. Eisler’s BrokerCheck report discloses FINRA’s investigation into his conduct. Filed in January 2025, the disclosure states that the probe resulted in a determination to recommend a disciplinary action, alleging that he improperly shared in customer profits, caused his member firm to maintain incomplete books and records, and improperly disclosed the “confidential trading strategies of a third-party fund manager.” It has not yet taken the recommended action.

Another disclosure on his BrokerCheck profile concerns an investor complaint against him. Filed in 2022, it alleged that he made misrepresentations regarding trades in a customer’s account. In 2023 the complaint reached a settlement of $900,000.

A third disclosure concerns his resignation from Morgan Stanley. Filed in 2022, it states that he voluntarily resigned from the firm in connection with allegations of the unauthorized sharing of client trading information through an unapproved messaging platform. The disclosure also describes allegations that he agreed with a customer “to receive unapproved compensation in exchange for certain trading opportunities.”

According to the Financial Industry Regulatory Authority, Joseph Eisler holds 29 years of securities industry experience. Based in Blue Bell, Pennsylvania, he has been registered as a broker and an investment advisor with LPL Financial since 2022, doing business as Gladstone Wealth Partners. His past registrations include LPL Financial and Morgan Stanley. His credentials include the passage of six securities industry qualifying exams: the Investment Banking Registered Representative Examination, or Series 79TO; the Securities Industry Essentials Examination, or SIE; the National Commodity Futures Examination, or Series 3; the National Commodity Futures Examination, or Series 3; the Uniform Investment Adviser Law Examination, or Series 65; and the Uniform Securities Agent State Law Examination, or Series 63. He is licensed in Connecticut, Florida, New Jersey, New York, North Carolina, and Pennsylvania. (Information current as of February 8, 2025.)

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