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JB

Joaquin R. Balaguer

CRD#: 4218560
Some features on this profile are disabled
JB
Joaquin Rafael Balaguer

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.

Joaquin Rafael Balaguer was a registered financial professional .

Joaquin is a previously registered financial professional and started their career in finance in 2001. Joaquin had 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"?
No

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 17, 2021 - June 29, 2026

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

April 18, 2016 - September 13, 2021

CION SECURITIES, LLC

BD
CRD#: 15487
NEW YORK, NY
Past

December 12, 2014 - April 25, 2016

RESOURCE SECURITIES LLC

BD
CRD#: 133022
PHILADELPHIA, PA
Past

August 16, 2010 - December 9, 2014

FS INVESTMENT SOLUTIONS, LLC

BD
CRD#: 145244
ORLANDO, FL
Past

May 20, 2005 - August 12, 2010

CNL SECURITIES CORP.

BD
CRD#: 10356
ORLANDO, FL
Past

November 4, 2004 - April 4, 2005

NORTH AMERICAN CLEARING, INC.

BD
CRD#: 39118
LONGWOOD, FL
Past

June 24, 2004 - October 15, 2004

SALZBURG SECURITIES, LLC

BD
CRD#: 125450
ORLANDO, FL
Past

May 8, 2003 - August 3, 2004

GLOBAL-AMERICAN INVESTMENTS, INC.

BD
CRD#: 41802
WALNUT, CA
Past

September 20, 2002 - May 6, 2003

WHITE PACIFIC SECURITIES, INC.

BD
CRD#: 42505
SAN FRANCISCO, CA
Past

April 9, 2002 - June 3, 2002

BERTRAM SAMUEL SECURITIES, LLC

BD
CRD#: 111183
BOWLING GREEN, KY
Past

March 27, 2001 - April 5, 2002

POINT DIREX SECURITIES, LLC

BD
CRD#: 41437
ORLANDO, FL

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 4/30/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 55
Date: 8/16/2001
Limited Representative-Equity Trader Exam
General Industry/Product Exam
RR
Series 7
Date: 3/26/2001
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/14/2002
General Securities Principal Examination

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

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

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
(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

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

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