Joyce A. Frailey
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.
Joyce Amal Frailey, who also goes by Joyce Amal Aller, Joyce Amal Perlman, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 2000. Joyce had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2014 - March 26, 2018
IMA WEALTH
January 10, 2013 - March 3, 2014
TRUENORTH, INC.
December 13, 2011 - March 26, 2018
IMA WEALTH
October 21, 2010 - December 6, 2011
FINANCIAL TELESIS INC
August 20, 2009 - October 22, 2010
PRINCIPAL SECURITIES, INC.
October 2, 2006 - October 13, 2008
EMPOWER FINANCIAL SERVICES, INC.
November 3, 2005 - October 3, 2006
METROPOLITAN LIFE INSURANCE COMPANY
November 3, 2005 - October 3, 2006
MSI FINANCIAL SERVICES, INC.
January 16, 2003 - September 23, 2005
MMC SECURITIES LLC
September 7, 2001 - September 23, 2005
MMC SECURITIES LLC
October 12, 2000 - August 28, 2001
METROPOLITAN LIFE INSURANCE COMPANY
October 12, 2000 - August 28, 2001
MSI FINANCIAL SERVICES, INC.
July 13, 2000 - August 3, 2000
ONE ORCHARD EQUITIES, INC.
Primary Firm SEC Registration
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
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
Current Firm
IMA WEALTH
CRD#: 112091 / SEC#: 801-79108, 8-53221
Contact information
SEC notice filing (19 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE IMA FINANCIAL GROUP, INC. F/K/A INSURANCE MANAGEMENT ASSOCIATES, INC. | SHAREHOLDER | |
| DAVIS, PATRICIA LYNN | SVP, CCO, DIRECTOR | 5613123 |
| HOLT, RICHARD WILLIAM | PRESIDENT, DIRECTOR, CIO, FINOP | 2778485 |
| PAULY, ERIC MICHAEL | GENERAL COUNSEL/SECRETARY | 7719772 |
| POOL, SUSAN LOUISE | SENIOR VICE PRESIDENT/DIRECTOR | 3178683 |
Regulatory assets under management
| Total Number of Accounts | 1,514 |
| AUM (Assets Under Management) | $ 3,158,410,252 |
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.
