Joseph F. Kroleski
Professional summary
Joseph Frank Kroleski III, who also goes by Joseph Frank Kroleski, is a registered financial professional currently at CAMBRIDGE INVESTMENT RESEARCH, INC. located in Phoenix, Arizona.
Joseph is registered as a RR (Registered Representative) and started their career in finance in 2006. Joseph has worked at 13 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Joseph Frank Kroleski III's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 7, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 2700 North Central Avenue 12th Floor, Phoenix, AZ, 85004July 24, 2023 - April 14, 2024
FINTRON ADVISORS, LLC
February 24, 2023 - March 27, 2024
APEX FINTECH BROKERAGE SERVICES
July 1, 2021 - August 24, 2022
ETORO USA SECURITIES INC.
June 4, 2019 - April 5, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
June 3, 2019 - April 5, 2021
UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER
April 20, 2018 - December 31, 2018
PFG ADVISORS
February 6, 2018 - December 31, 2018
CUE FINANCIAL GROUP, INC.
September 27, 2017 - January 9, 2019
SECURITIES AMERICA, INC.
January 9, 2017 - June 12, 2017
ALPINE SECURITIES CORPORATION
March 13, 2014 - December 16, 2016
SCOTTSDALE CAPITAL ADVISORS CORP
January 18, 2011 - April 23, 2012
MERIDIAN UNITED CAPITAL, LLC
February 27, 2008 - June 8, 2010
VALMARK SECURITIES, INC.
October 20, 2006 - November 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
October 18, 2006 - November 29, 2006
AMERIPRISE FINANCIAL SERVICES, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(5/7/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
Current Firm
CAMBRIDGE INVESTMENT RESEARCH, INC.
CRD#: 39543 / SEC#: , 8-48740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CAMBRIDGE INVESTMENT GROUP, INC. | SHAREHOLDER/HOLDING COMPANY | |
| BELL, COLLEEN MCGUIRE | PRESIDENT INNOVATION AND EXPERIENCE; DIRECTOR | 5077188 |
| BOEN, RYAN | EVP, CHIEF FINANCIAL OFFICER/FINOP, PRINCIPAL OPERATIONS OFFICER | 7842316 |
| KUHLMAN, RICHARD HENRY | SVP, CHIEF LEGAL OFFICER | 7076563 |
| MILLER, SETH AARON | PRESIDENT ADVOCACY & ADMINISTRATION; GENERAL COUNSEL; DIRECTOR | 5495508 |
| ROBBINS, TAMMY ANN | EXECUTIVE VICE PRESIDENT/CHIEF BUSINESS DEVELOPMENT OFFICER | 3125668 |
| ROLLINS, EDDIE THOMAS | EXECUTIVE VICE PRESIDENT, MANAGING DIRECTOR - BRIDGEPORT | 1523500 |
| SHAFER, ANDREA LYNN | EVP, CHIEF SUPERVISION OFFICER | 5448499 |
| STONE, CARLA JEAN | FIRST VICE PRESIDENT, FINANCE/CHIEF ACCOUNTING OFFICER | 3193985 |
| TURNER, GREGORY WALTER | EVP, CONSULTING SERVICES | 3144311 |
| VEST, VALARIE KNOBLOCK | EVP, CHIEF EXPERIENCE OFFICER | 3074142 |
| VIVACQUA, JEFFREY FRANCIS | PRESIDENT GROWTH AND DEVELOPMENT; DIRECTOR | 2608892 |
| WEBBER, AMY LYNN | CEO, SECRETARY; DIRECTOR | 1812670 |
| YOUHN, STEPHEN MICHAEL | CHIEF COMPLIANCE OFFICER | 1414691 |
Disclosures
| Regulatory Event | 13 |
| Arbitration | 4 |
Red Flags
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