Joaquin R. Balaguer

VOYA INVESTMENTS DISTRIBUTOR

Pembroke, MA

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CRD#: 4218560

Professional summary

Joaquin Rafael Balaguer is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Pembroke, Massachusetts.

Joaquin is registered as a RR (Registered Representative) and started their career in finance in 2001. Joaquin has worked at 11 firms and has passed the Series 63, SIE, Series 55, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joaquin Rafael Balaguer's CRS (Customer Relationship Summary).

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

September 17, 2021 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Pembroke, MA

Past

April 18, 2016 - September 13, 2021

CION SECURITIES, LLC

CRD#: 15487

NEW YORK, NY

Past

December 12, 2014 - April 25, 2016

RESOURCE SECURITIES LLC

CRD#: 133022

PHILADELPHIA, PA

Past

August 16, 2010 - December 9, 2014

FS INVESTMENT SOLUTIONS, LLC

CRD#: 145244

ORLANDO, FL

Past

May 20, 2005 - August 12, 2010

CNL SECURITIES CORP.

CRD#: 10356

ORLANDO, FL

Past

November 4, 2004 - April 4, 2005

NORTH AMERICAN CLEARING, INC.

CRD#: 39118

LONGWOOD, FL

Past

June 24, 2004 - October 15, 2004

SALZBURG SECURITIES, LLC

CRD#: 125450

ORLANDO, FL

Past

May 8, 2003 - August 3, 2004

GLOBAL-AMERICAN INVESTMENTS, INC.

CRD#: 41802

WALNUT, CA

Past

September 20, 2002 - May 6, 2003

WHITE PACIFIC SECURITIES, INC.

CRD#: 42505

SAN FRANCISCO, CA

Past

April 9, 2002 - June 3, 2002

BERTRAM SAMUEL SECURITIES, LLC

CRD#: 111183

BOWLING GREEN, KY

Past

March 27, 2001 - April 5, 2002

POINT DIREX SECURITIES, LLC

CRD#: 41437

ORLANDO, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(9/17/2021)

Alaska
(10/29/2021)

Arizona
(10/29/2021)

Arkansas
(9/17/2021)

California
(10/29/2021)

Colorado
(10/29/2021)

Connecticut
(10/29/2021)

Delaware
(10/29/2021)

District of Columbia
(10/29/2021)

Florida
(9/17/2021)

Georgia
(9/17/2021)

Hawaii
(10/29/2021)

Idaho
(10/29/2021)

Illinois
(10/29/2021)

Indiana
(10/29/2021)

Iowa
(10/29/2021)

Kansas
(10/29/2021)

Kentucky
(9/17/2021)

Louisiana
(9/17/2021)

Maine
(10/29/2021)

Maryland
(10/29/2021)

Massachusetts
(10/29/2021)

Michigan
(10/29/2021)

Minnesota
(10/29/2021)

Mississippi
(9/17/2021)

Missouri
(10/29/2021)

Montana
(10/29/2021)

Nebraska
(10/29/2021)

Nevada
(10/29/2021)

New Hampshire
(10/29/2021)

New Jersey
(10/29/2021)

New Mexico
(10/29/2021)

New York
(10/29/2021)

North Carolina
(9/17/2021)

North Dakota
(10/29/2021)

Ohio
(11/2/2021)

Oklahoma
(10/29/2021)

Oregon
(10/29/2021)

Pennsylvania
(10/29/2021)

Puerto Rico
(10/29/2021)

Rhode Island
(10/29/2021)

South Carolina
(9/17/2021)

South Dakota
(10/29/2021)

Tennessee
(9/17/2021)

Texas
(9/17/2021)

Utah
(10/29/2021)

Vermont
(10/29/2021)

Virgin Islands
(10/29/2021)

Virginia
(10/29/2021)

Washington
(10/29/2021)

West Virginia
(9/17/2021)

Wisconsin
(10/29/2021)

Wyoming
(10/29/2021)

Exams

State Security Law Exam

Series 63

Date: 4/30/2001

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 55

Date: 8/16/2001

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 3/26/2001

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/14/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

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

(860) 275-2110

Established

Delaware since 10/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VOYA FUNDS SERVICES, LLC	SOLE SHAREHOLDER
EASTON, STEPHEN JOSEPH	CHIEF COMPLIANCE OFFICER	3150168
POTESTA, TIFFANI ANNE	CEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION	4042592
WILLINGHAM, CATRINA	FINANCIAL OPERATIONS PRINCIPAL	7025979

Disclosures

Regulatory Event

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.

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Joaquin R. Balaguer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Joaquin Rafael Balaguer's CRS (Customer Relationship Summary).

Certified licenses

Experience

CION SECURITIES, LLC

RESOURCE SECURITIES LLC

FS INVESTMENT SOLUTIONS, LLC

CNL SECURITIES CORP.

NORTH AMERICAN CLEARING, INC.

SALZBURG SECURITIES, LLC

GLOBAL-AMERICAN INVESTMENTS, INC.

WHITE PACIFIC SECURITIES, INC.

BERTRAM SAMUEL SECURITIES, LLC

POINT DIREX SECURITIES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 4/30/2001

SIE

Date: 10/1/2018

Series 55

Date: 8/16/2001

Series 7

Date: 3/26/2001

Series 24

Date: 2/14/2002

FINRA

Current Firm

VOYA INVESTMENTS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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