Frank A. Joy

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CRD#: 1412107

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Frank Anthony Joy was a registered financial professional .

Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 7 firms and has passed the Series 65, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

February 6, 2017 - May 31, 2018

IAMS WEALTH MANAGEMENT, LLC

RIA

CRD#: 286085

LAS VEGAS, NV

Past

March 11, 2002 - January 13, 2003

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

Past

December 15, 2000 - December 6, 2001

BIRCHTREE FINANCIAL SERVICES LLC

CRD#: 15014

MINNEAPOLIS, MN

Past

July 1, 1999 - September 22, 2000

WELLS FARGO SECURITIES, LLC

CRD#: 7665

SAN FRANCISCO, CA

Past

June 30, 1999 - July 1, 1999

FIRST SECURITY INVESTOR SERVICES, INC.

CRD#: 15515

SALT LAKE CITY, UT

Past

January 5, 1999 - June 7, 1999

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

CRD#: 20804

SCOTTSDALE, AZ

Past

October 23, 1985 - December 31, 1998

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

IAMS WEALTH MANAGEMENT, LLC

CRD#: 286085 / SEC#: 801-108875

RIA

Registered Investment Advisory firm - (1/9/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/1993

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/7/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 10/19/1985

General Securities Representative Examination

Current Firm

IAMS WEALTH MANAGEMENT, LLC

CRD#: 286085 / SEC#: 801-108875

RIA

Registered Investment Advisory firm - (1/9/2017 Approved)

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Contact information

Main Address

18881 West Dodge Road Suite 180e, Omaha, NE 68022

Mailing Address

Phone number

(888) 255-7670

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (40 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

IAMS WEALTH MANAGEMENT, LLC FORM ADV PART 2A BROCHURE (10/6/2025)

Regulatory assets under management

Total Number of Accounts	2,104
AUM (Assets Under Management)	$ 343,012,390

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

Frank A. Joy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRIME CAPITAL SERVICES, INC.

BIRCHTREE FINANCIAL SERVICES LLC

WELLS FARGO SECURITIES, LLC

FIRST SECURITY INVESTOR SERVICES, INC.

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

LPL FINANCIAL LLC

Primary Firm SEC Registration

IAMS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/1993

Series 63

Date: 9/7/1985

Series 7

Date: 10/19/1985

Current Firm

IAMS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (40 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

IAMS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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