Joni H. Rheingold

VIRTUS INVESTMENT ADVISERS

EASTON, CT

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CRD#: 2248041

Professional summary

Joni Hope Rheingold, who also goes by Joni Hope Ballas, Joni Rheingold, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Easton, Connecticut and VP DISTRIBUTORS LLC located in Hartford, Connecticut.

Joni is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Joni has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joni Hope Ballas | Joni Rheingold

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.

1. UCONN, EAGLEVILLE RD, STORRS CT; BUSINESS IS NOT INVESTMENT RELATED: NATURE OF BUSINESS: HELP PROGRAMS/IDEAS TO GROW/BUILD; POSITION: BOARD MEMBER; START DATE: 7/15/21; 1 HR/WEEKLY DEVOTED TO BUSINESS; 0 HRS DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: BOARD MEMBER. 2. JEWISH FEDERATION OF UPPER FAIRFIELD COUNTY, 4200 PARK AVE, BRIDGEPORT CT; BUSINESS IS NOT INVESTMENT RELATED; NATURE OF OTHER BUSINESS: JEWISH NON PROFIT - WORKING TO IMPROVE AND SAVE LIVES LOCALLY; POSITION: SITTING ON A COMMITTEE; START DATE: 3/1/22; 1/HR MONTHLY DEVOTED TO BUSINESS; 0 HRS DEVOTED TO BUSINESS DURING SECURITIES TRADING HOURS; DUTIES: COMMITTEE FOR EVENTS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joni Hope Rheingold's CRS (Customer Relationship Summary).

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

Current

February 9, 2021 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

EASTON, CT

Current

February 8, 2021 - Present

VP DISTRIBUTORS LLC

Office #1: One Financial Plaza, Hartford, CT 06103

CRD#: 3036

Hartford, CT

Past

September 8, 2003 - February 1, 2021

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

March 7, 2003 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Connecticut
(2/8/2021)

IAR

Connecticut
(2/9/2021)

New York
(2/8/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 3/31/2003

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/9/1996

Uniform Investment Adviser Law Examination

General Industry/Product Exam

Series 6TO

Date: 3/15/2024

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/22/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/5/2003

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

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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Joni H. Rheingold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joni Hope Rheingold's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 3/31/2003

Series 65

Date: 5/9/1996

Series 6TO

Date: 3/15/2024

SIE

Date: 10/1/2018

Series 7

Date: 12/22/2007

Series 6

Date: 9/5/2003

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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