JM
Joe A. Marini
VOYA FINANCIAL ADVISORS
Los Angeles, CA 90045
Some features on this profile are disabled
CRD#: 4101633
JM
Professional summary
Joe Anthony Marini is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Los Angeles, California and VOYA RETIREMENT ADVISORS, LLC located in Windsor, Connecticut.
Joe is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joe has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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:Joe Marini, Rettina Marini Rental Properties; No; 119 1/2 W 84TH ST; LOS ANGELES; CA; 90003; rental property; owner; 12/3/2013; 0; 0; remtal income|
CRS (Client Relationship Summary) - RIA
Click below to view Joe Anthony Marini'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®
NoneExperience
Current
February 1, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6080 Center Drive 6th Floor, Suite 698, Los Angeles, CA, 90045Office #2: 1030 Nevada St Ste 203, Redlands, CA 92374Office #3: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
Los Angeles, CA
Current
April 29, 2021 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #1: One Orange Way, Windsor, CT 06095RIA
CRD#: 3989
Windsor, CT
Current
September 24, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6080 Center Drive 6th Floor, Suite 698, Los Angeles, CA, 90045Office #2: 1030 Nevada St Ste 203, Redlands, CA 92374Office #3: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
Los Angeles, CA
Past
April 1, 2004 - October 6, 2015
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
GLENDALE, CA
Past
March 16, 2000 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
Past
March 16, 2000 - October 6, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
GLENDALE, CA
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 RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
Terminated by SEC on 11/29/2016
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(1/28/2021)
RR
Arizona(2/13/2020)
RR
Arkansas(2/1/2021)
RR
California(9/24/2015)
IAR
California(2/1/2016)
RR
Colorado(4/18/2018)
RR
Florida(3/28/2018)
RR
Georgia(1/14/2021)
RR
Hawaii(1/2/2019)
RR
Idaho(1/8/2019)
RR
Iowa(2/1/2021)
RR
Kansas(1/29/2021)
RR
Kentucky(10/10/2023)
RR
Louisiana(1/29/2021)
RR
Maryland(1/29/2021)
RR
Massachusetts(1/29/2021)
RR
Michigan(6/30/2020)
RR
Minnesota(1/4/2022)
RR
Mississippi(2/9/2021)
RR
Missouri(2/6/2020)
RR
Montana(1/29/2021)
RR
Nevada(3/15/2018)
RR
New Hampshire(11/13/2025)
RR
New Jersey(7/23/2020)
RR
New Mexico(1/3/2019)
RR
New York(1/9/2019)
IAR
New York(10/12/2022)
RR
North Carolina(4/27/2018)
RR
North Dakota(2/2/2021)
RR
Ohio(1/3/2019)
RR
Oklahoma(1/10/2020)
RR
Oregon(1/2/2019)
RR
Pennsylvania(1/21/2021)
RR
South Carolina(11/19/2025)
RR
Tennessee(1/29/2021)
RR
Texas(9/22/2017)
IAR
Texas(9/22/2017)
RR
Utah(1/3/2019)
RR
Virginia(1/2/2019)
RR
Washington(1/4/2019)
RR
West Virginia(2/12/2021)
RR
Wisconsin(1/3/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
Terminated by SEC on 11/29/2016
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
Phone number
(860) 580-2817
Established
New Jersey since 02/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
116
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
