Joseph A. Koessl
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.
Joseph Alfred Koessl, who also goes by Joe Koessl, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 14, 2015 - January 3, 2017
VOYA FINANCIAL ADVISORS, INC.
May 24, 2013 - August 18, 2015
CETERA ADVISORS LLC
April 30, 2008 - May 30, 2013
FIRST ALLIED SECURITIES, INC.
October 2, 1990 - May 7, 2008
HARBOUR INVESTMENTS, INC.
October 17, 1988 - October 19, 1990
DAIN RAUSCHER INCORPORATED
October 27, 1986 - October 17, 1988
THE MILWAUKEE COMPANY
April 1, 1986 - April 7, 1987
CAPITAL FINANCIAL SERVICES, INC.
January 21, 1984 - April 8, 1986
CHARTER SECURITIES CORPORATION
June 14, 1983 - December 27, 1983
SII INVESTMENTS, INC.
January 17, 1982 - June 14, 1983
CHARTER SECURITIES CORPORATION
February 3, 1975 - January 17, 1982
GENERAL INVESTMENT SALES CORPORATION
May 7, 1973 - January 6, 1974
TIME EQUITIES, INC.
March 23, 1971 - June 3, 1973
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
March 23, 1971 - June 3, 1973
OSAIC FA, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 3/17/1971
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
