Joseph F. Batkiewicz

EFS ADVISORS

St Paul, MN 55103

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CRD#: 4929166

Professional summary

Joseph Francis Batkiewicz, who also goes by Joe Batkiewicz, is a registered financial advisor currently at EFS ADVISORS located in St Paul, Minnesota and ADVANCED ADVISOR GROUP, LLC located in St Paul, Minnesota.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Joseph has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Batkiewicz

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.

Crump Life Insurance, investment-related insurance activity from which trail commissions are being collected, passive activity with no selling involved.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Batkiewicz'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 8, 2016 - Present

EFS ADVISORS

Office #1: 41 Sherburne Ave, St Paul, MN 55103

RIA

CRD#: 115211

St Paul, MN

Current

September 8, 2016 - Present

ADVANCED ADVISOR GROUP, LLC

Office #1: 41 Sherburne Ave, St Paul, MN 55103

RIA

CRD#: 140393

St Paul, MN

Past

January 30, 2014 - September 7, 2016

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

ST PAUL, MN

Past

June 1, 2010 - September 7, 2016

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

ST PAUL, MN

Past

July 24, 2006 - June 3, 2010

PRINCIPAL SECURITIES, INC.

CRD#: 1137

SAINT PAUL, MN

Past

April 27, 2005 - July 27, 2006

SECURIAN FINANCIAL SERVICES, INC.

CRD#: 15296

ST. PAUL, MN

Past

April 27, 2005 - July 27, 2006

CRI SECURITIES, LLC

CRD#: 22589

ST. PAUL, MN

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".

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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

Arizona
(1/2/2019)

IAR

Arizona
(5/19/2025)

Minnesota
(9/8/2016)

IAR

Minnesota
(9/8/2016)

IAR

North Carolina
(5/5/2025)

IAR

South Carolina
(5/6/2025)

Wisconsin
(9/8/2016)

IAR

Wisconsin
(9/12/2016)

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 66

Date: 3/28/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/26/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

EFS ADVISORS

EDUCATOR'S FINANCIAL SERVICES, INC. | EFS ADVISORS LLC | EFS ADVISORS

CRD#: 115211 / SEC#: 801-62857

RIA

Registered Investment Advisory firm - (3/11/2004 Approved)

Iowa

Registered Investment Advisory firm - (6/29/2004 Terminated)

North Dakota

Registered Investment Advisory firm - (7/26/2004 Terminated)

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Contact information

Main Address

1995 East Rum River Drive S, Cambridge, MN 55008

Mailing Address

Phone number

(763) 689-9023

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

EFS ADV PART 2 BROCHURE (3/11/2025)

Regulatory assets under management

Total Number of Accounts	29,714
AUM (Assets Under Management)	$ 2,271,853,092

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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Advisor Monitoring

Firm Stability Insights

Joseph F. Batkiewicz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph Francis Batkiewicz's CRS (Customer Relationship Summary).

Certified licenses

Experience

ADVANCED ADVISOR GROUP, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PRINCIPAL SECURITIES, INC.

SECURIAN FINANCIAL SERVICES, INC.

CRI SECURITIES, LLC

Primary Firm SEC Registration

EFS ADVISORS

State Registrations and Notice Filings

Exams

Series 66

Date: 3/28/2005

SIE

Date: 10/1/2018

Series 7

Date: 4/26/2005

FINRA

Current Firm

EFS ADVISORS

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

EFS ADVISORS

TRUST BUT VERIFY

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