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Paladin Research Report For:

John Traut

LPL

AWMA®
660 White Plains Rd
Suite 530
Tarrytown, NY 10591
347-342-2419

About John Traut

John Traut - Wealth Advisor and Firefighter

John is a dedicated wealth advisor who is passionate about helping individuals, families, and businesses achieve meaningful progress toward their financial goals. With years of experience in wealth management, John focuses on providing personalized strategies tailored to each clients unique needs. Whether it's planning for retirement, managing investments, or optimizing business finances, John works closely with clients to guide them toward long-term financial freedom or independence.

In addition to managing wealth, John serves as a trustee on the board of a non-profit organization, where he brings his expertise in finance and community service to support the organizations mission. This role allows him to combine his professional skills with a deep commitment to giving back, ensuring the non-profit continues to positively impact the community.

As a passionate firefighter, John dedicates his time and energy to protecting and serving his local community. His role in the fire service reflects his commitment to public safety, teamwork, and courage, qualities that extend to his work as a wealth advisor. Whether on the fireground or in the office, John strives to make a difference by supporting others and responding to their needs.

When not working, John enjoys spending time outdoors, particularly running and freshwater fishing. These activities offer him a balanced approach to life, allowing him to relax, recharge, and connect with nature. Running fosters discipline and personal achievement, while fishing provides moments of peace and reflection. Both activities help John maintain a healthy work-life balance, ensuring he has the energy and clarity needed to continue providing personalized service to clients and the community.

Above all, John is driven by a passion for helping people. Whether its guiding a family through the complexities of financial planning or working on a life-saving mission as a firefighter, John strives to positively impact every aspect of his life. By blending expertise in wealth management with a deep commitment to service, he continues to make a meaningful difference in the lives of those he serves.

See Disclosures

General Information

Firm Start Year
  • 1925
CRD#
  • 6676325
Firm CRD#
  • 6413
Insurance License#
  • 1447737
Years of Experience in Financial Services
  • 7
Number of Years with Current Firm
  • 2
Work with the following types of clients
  • Individual Investors, Non-Profit Organizations, Businesses
Advisory Services Provided
  • Financial Advice & Consulting, Investment Advice & Management, Insurance Products & Annuities, Financial Planning, Portfolio Management, Retirement Planning, 401K Rollovers, Wealth Management, Risk Management, Education Funding and Planning, Financial Planning for Individuals, Financial Planning for Businesses, Money Management

Compliance

Registered Investment Advisor
  • Yes
Registered Representative
  • Yes
Investment Advisor Representative
  • Yes
Acknowledged fiduciary
  • Yes
Compliance Disclosures in Last 5 years
  • I have a clean record
Criminal Disclosures in Last 5 years
  • I have a clean record

Qualifications & Membership

Certifications, Accreditations & Designations
  • AWMA®
Securities Licenses
  • Series 7, Series 66
Insurance and Annuity Licenses
  • Disability, Accident, Health, Life, Variable Annuity, Long Term Care, Variable Life

Firm Information

Assets Managed by Advisor
  • $5,000,000

Compensation and Fees

Fee Structure
  • Fee-Based
Minimum Portfolio Size for New Managed Accounts
  • $10,000
Compensation Methods
  • Commissions, Flat Fee, Based on Assets
Fee % Based on Assets
  • 1-1.5%
Minimum Fee Charged for Managed Accounts
  • N/A
Minimum Fee Charged for Hourly Planning Accounts
  • N/A

Education

MBA - MBA

SUNY New Paltz
05/2012 -12/2016

Disclosures

PaladinRegistry.com provides referrals to financial professionals of LPL Financial, LLC (LPL). PaladinRegistry.com is not a current client of LPL for brokerage or advisory services. Financial professionals of LPL pay PaladinRegistry.com cash compensation for these referrals, which creates the incentive for PaladinRegistry.com to make these referrals, resulting in a conflict of interest.


LPL ADV 2A

https://www.lpl.com/content/dam/lpl-www/documents/disclosures/A58.pdf

Additional Detailed Disclosures

https://www.lpl.com/content/dam/edam/format/disclosure/wiseradvisor-lpl-detailed-disclosures.pdf

Disclaimer

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