JF
Joseph B. Frederick
VOYA FINANCIAL ADVISORS
Columbus, OH 43235
Some features on this profile are disabled
CRD#: 3219777
JF
Professional summary
Joseph Bernard Frederick II, CFP®, who also goes by Joe Frederick, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Columbus, Ohio.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Joseph has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joe Frederick
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.
NAME OF ENTITY:J3, LLC; No; 545 Metro Place South, Suite 100; Dublin; OH; 43017; Financial Services; CO-OWNER; 6/1/2016; 4; 4; Office expenses, Payroll|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 545 Metro Place South Suite 100; Dublin; OH; 43017; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/5/2009; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:Ascent Financial Partners; Yes; 545 Metro Place South, Suite 100; Dublin; OH; 43017; FINANCIAL SERVICES/DBA; Partner; 10/1/2018; 160; 160; Sell and service insurance, securities and investment products|
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Bernard Frederick II's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Bernard Frederick II'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®
Experience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Past
July 13, 2000 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
COLUMBUS, OH
Past
April 10, 2000 - September 25, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
June 11, 1999 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
COLUMBUS, OH
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Alabama(9/26/2016)
RR
Arizona(8/11/2021)
RR
California(1/3/2011)
RR
Colorado(8/17/2017)
RR
Florida(10/27/2015)
RR
Georgia(8/17/2017)
RR
Indiana(8/17/2017)
RR
Kentucky(5/3/2019)
RR
Louisiana(9/14/2020)
RR
Maryland(4/17/2019)
RR
Michigan(1/25/2024)
RR
Minnesota(3/7/2018)
RR
North Carolina(7/25/2017)
RR
North Dakota(7/9/2024)
RR
Ohio(1/3/2011)
IAR
Ohio(1/3/2011)
RR
Oregon(8/12/2020)
RR
Pennsylvania(1/15/2021)
RR
South Carolina(6/20/2018)
RR
Texas(1/15/2021)
IAR
Texas(1/15/2021)
RR
Virginia(1/6/2021)
RR
West Virginia(1/3/2011)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
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.
