Joseph G. Mathews
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 Garner Mathews, who also goes by Joseph G Mathews, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1971. Joseph had worked at 5 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2004 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
April 20, 1987 - June 7, 2004
WS GRIFFITH SECURITIES, INC.
August 31, 1983 - May 18, 1987
INTEGRATED RESOURCES EQUITY CORPORATION
August 3, 1982 - September 27, 1983
WS GRIFFITH SECURITIES, INC.
June 25, 1974 - October 19, 1992
HOME LIFE INSURANCE COMPANY
August 24, 1971 - January 26, 1979
NORTH AMERICAN SECURITIES CORPORATION
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: 6/19/1971
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.
