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JB

Joseph M. Balestra

VICTORY CAPITAL MANAGEMENT
Sagamore Hills, OH
Some features on this profile are disabled
CRD#: 2436107
JB

Professional summary

Joseph Michael Balestra, who also goes by Joe Balestra, is a registered financial advisor currently at VICTORY CAPITAL MANAGEMENT INC. located in Sagamore Hills, Ohio and VICTORY CAPITAL SERVICES, INC. located in Avon Lake, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Joseph has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Joe Balestra

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.
Employed at Victory Capital Management Inc. a registered investment adviser and affiliate of Victory Capital Advisers.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Michael Balestra's CRS (Customer Relationship Summary).
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

January 8, 2018 - Present

VICTORY CAPITAL MANAGEMENT INC.

RIA
CRD#: 106189
Sagamore Hills, OH
Current

November 7, 2016 - Present

VICTORY CAPITAL SERVICES, INC.

BD
CRD#: 37059
Avon Lake, OH
Past

October 13, 2006 - April 14, 2016

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
PRINCETON, NJ
Past

May 26, 2006 - April 14, 2016

BLACKROCK FINANCIAL MANAGEMENT, INC

RIA
CRD#: 107105
PRINCETON, NJ
Past

September 22, 2005 - May 31, 2006

BLACKROCK CAPITAL MANAGEMENT, INC.

RIA
CRD#: 108069
CLEVELAND, OH
Past

April 9, 2001 - October 17, 2006

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

BD
CRD#: 17580
BOSTON, MA
Past

December 7, 1999 - December 19, 2000

VESTAX SECURITIES CORPORATION

BD
CRD#: 10332
HUDSON, OH
Past

September 28, 1995 - November 21, 1997

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

December 21, 1993 - August 15, 1995

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY

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".
VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS

CRD#: 106189 / SEC#: 801-46878

RIA
Registered Investment Advisory firm - (5/10/1994 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.
RR
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

RR
Ohio
(11/7/2016)
IAR
Ohio
(1/8/2018)
RR
Pennsylvania
(11/7/2016)
RR
West Virginia
(11/7/2016)

Exams

State Security Law Exam
IAR
Series 65
Date: 9/20/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 4/13/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/19/1995
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/20/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VC
VICTORY CAPITAL MANAGEMENT INC.
CEMP | VICTORY SBSF CAPITAL MANAGEMENT | VICTORY NEWBRIDGE CAPITAL MANAGEMENT | VICTORY INCOME INVESTORS | VICTORY GRADISION CAPITAL MANAGEMENT | VICTORY CAPITAL SOLUTIONS | VICTORY CAPITAL MANAGEMENT INC. | VICTORY CAPITAL | VICTORY ADVISORS INC | VICTORY | TRIVALENT INVESTMENTS | THB ASSET MANAGEMENT | SYCAMORE CAPITAL | SOPHUS CAPITAL | RS INVESTMENTS | PIONEER INVESTMENTS | NEWBRIDGE ASSET MANAGEMENT | NEW ENERGY CAPITAL | MUNDER CAPITAL MANAGEMENT | MUNDER CAPITAL | MUNDER | KEY ASSET MANAGEMENT INC | INTEGRITY ASSET MANAGEMENT | INTEGRITY | INCORE CAPITAL MANAGEMENT | EXPEDITION INVESTMENT PARTNERS | DIVERSIFIED EQUITY MANAGEMENT | COMPASS EMP | COMPASS EFFICIENT MODEL PORTFOLIOS

CRD#: 106189 / SEC#: 801-46878

RIA
Registered Investment Advisory firm - (5/10/1994 Approved)
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Contact information

Main Address
15935 La Cantera Pkwy, San Antonio, TX 78256
Mailing Address
Phone number
(877) 660-4400
Established
Firm type
Fiscal year end
# of Employees
460

SEC notice filing (45 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VICTORY CAPITAL MANAGEMENT ADV PART 2A - MARCH 2025 (4/8/2025)

Regulatory assets under management

Total Number of Accounts2,566
AUM (Assets Under Management)$ 152,291,202,954

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.

Company Information

VICTORY CAPITAL MANAGEMENT INC.

CRD#: 106189Sagamore Hills, OH

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