Johanna M. Falkowitz

VIRTUS INVESTMENT ADVISERS

SCOTCH PLAINS, NJ

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CRD#: 4033922

Professional summary

Johanna Marcela Falkowitz, who also goes by Johanna M Franco, is a registered financial advisor currently at VIRTUS INVESTMENT ADVISERS, LLC located in Scotch Plains, New Jersey and VP DISTRIBUTORS LLC located in New York, New York.

Johanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Johanna has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Johanna M Franco

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johanna Marcela Falkowitz'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®

None

Experience

Current

February 3, 2023 - Present

VIRTUS INVESTMENT ADVISERS, LLC

RIA

CRD#: 106982

SCOTCH PLAINS, NJ

Current

August 12, 2022 - Present

VP DISTRIBUTORS LLC

Office #1: 1301 Avenue Of The Americas 14th Floor, New York, NY 10019

CRD#: 3036

NEW YORK, NY

Past

July 7, 2021 - August 1, 2022

FRANKLIN DISTRIBUTORS, LLC

CRD#: 109064

New York, NY

Past

February 20, 2019 - July 7, 2021

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

NEW YORK, NY

Past

July 1, 2013 - October 22, 2013

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

NEW YORK, NY

Past

August 12, 2008 - July 7, 2021

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

CRD#: 27884

NEW YORK, NY

Past

August 12, 2008 - July 7, 2021

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

NEW YORK, NY

Past

May 19, 2008 - July 30, 2008

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 29, 2006 - January 10, 2008

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

March 15, 2006 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

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".

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 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.

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

Connecticut
(8/12/2022)

IAR

Connecticut
(2/3/2023)

New Jersey
(8/12/2022)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 2/3/2023

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/10/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/14/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

PHOENIX INVESTMENT COUNSEL, INC | VIRTUS INVESTMENT ADVISERS, LLC | VIRTUS INVESTMENT ADVISERS, INC.

CRD#: 106982 / SEC#: 801-5995

RIA

Registered Investment Advisory firm - (9/17/1969 Approved)

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Contact information

Main Address

One Financial Plaza 26th Floor, Hartford, CT 06103

Mailing Address

Phone number

(800) 248-7971

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (6 States and Territories)

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	105
AUM (Assets Under Management)	$ 53,982,609,839

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Johanna M. Falkowitz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Johanna Marcela Falkowitz's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

FRANKLIN DISTRIBUTORS, LLC

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

TEMPLETON/FRANKLIN INVESTMENT SERVICES,INC.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BLACKROCK INVESTMENTS, LLC

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

VIRTUS INVESTMENT ADVISERS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 2/3/2023

Series 63

Date: 11/10/2008

SIE

Date: 10/1/2018

Series 7

Date: 3/14/2006

FINRA

Current Firm

VIRTUS INVESTMENT ADVISERS, LLC

Contact information

SEC notice filing (6 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

VIRTUS INVESTMENT ADVISERS, LLC

TRUST BUT VERIFY

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