JF
Joseph A. Falduto
INVESCO ADVISERS
Chicago, IL
Some features on this profile are disabled
CRD#: 6216298
JF
Professional summary
Joseph Anthony Falduto is a registered financial advisor currently at INVESCO ADVISERS, INC. located in Chicago, Illinois and INVESCO DISTRIBUTORS, INC. located in Morristown, New Jersey.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Joseph has worked at 2 firms and has passed the Series 66, SIE and Series 7 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.
JOE FALDUTO; NOT INVESTMENT RELATED; 19 REVERE DRIVE, SOUTH BARRINGTON, IL 60010; DJ; DJ; START: 01/2018; 20HRS/MO, NOT DURING TRADING HOURS; DJ.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Falduto'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
July 30, 2015 - Present
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
Chicago, IL
Current
July 10, 2015 - Present
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
Morristown, NJ
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".
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
Registered Investment Advisory firm - (12/30/1988 Approved)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(12/8/2015)
RR
Alaska(12/8/2015)
RR
Arizona(12/8/2015)
RR
Arkansas(12/8/2015)
RR
California(12/8/2015)
RR
Colorado(12/8/2015)
RR
Connecticut(12/8/2015)
RR
Delaware(12/8/2015)
RR
District of Columbia(12/8/2015)
RR
Florida(7/30/2015)
RR
Georgia(12/8/2015)
RR
Hawaii(12/8/2015)
RR
Idaho(12/8/2015)
RR
Illinois(7/30/2015)
RR
Indiana(12/8/2015)
RR
Iowa(12/8/2015)
RR
Kansas(12/8/2015)
RR
Kentucky(12/8/2015)
RR
Louisiana(12/8/2015)
RR
Maine(12/8/2015)
RR
Maryland(12/8/2015)
RR
Massachusetts(12/8/2015)
RR
Michigan(12/8/2015)
RR
Minnesota(12/8/2015)
RR
Mississippi(12/8/2015)
RR
Missouri(12/8/2015)
RR
Montana(12/8/2015)
RR
Nebraska(12/8/2015)
RR
Nevada(12/8/2015)
RR
New Hampshire(12/8/2015)
RR
New Jersey(12/8/2015)
RR
New Mexico(12/8/2015)
RR
New York(12/8/2015)
RR
North Carolina(12/9/2015)
RR
North Dakota(12/8/2015)
RR
Ohio(12/8/2015)
RR
Oklahoma(12/8/2015)
RR
Oregon(12/8/2015)
RR
Pennsylvania(12/8/2015)
RR
Puerto Rico(12/8/2015)
RR
Rhode Island(12/8/2015)
RR
South Carolina(12/8/2015)
RR
South Dakota(12/8/2015)
RR
Tennessee(12/8/2015)
IAR
Texas(7/30/2015)
RR
Texas(12/8/2015)
RR
Utah(12/8/2015)
RR
Vermont(12/8/2015)
RR
Virgin Islands(12/8/2015)
RR
Virginia(12/8/2015)
RR
Washington(12/8/2015)
RR
West Virginia(12/8/2015)
RR
Wisconsin(12/8/2015)
RR
Wyoming(12/8/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INVESCO ADVISERS, INC.
INVESCO ADVISERS, INC. | INVESCO, INC | INVESCO INSTITUTIONAL (N.A.), INC.
CRD#: 105360 / SEC#: 801-33949
RIA
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Contact information
Main Address
1331 Spring Street Nw Suite 2500, Atlanta, GA 30309
Mailing Address
11 Greenway Plaza Suite 1000, Houston, TX 77046
Phone number
(404) 892-0896
Established
Firm type
Fiscal year end
# of Employees
2,872
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 61,236 |
| AUM (Assets Under Management) | $ 756,881,223,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 09/27/2024 | ||
| 10/27/2023 |
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.
