JW
Joseph A. Weiser
VOYA FINANCIAL ADVISORS
Baton Rouge, LA 70816
Some features on this profile are disabled
CRD#: 6423539
JW
Professional summary
Joseph Anthony Weiser, who also goes by Joseph Weiser, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Baton Rouge, Louisiana.
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 1 firm and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joseph Weiser
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.
NAME OF ENTITY: Independent Insurance Agent; Yes; 5525 GALERIA DR STE A; BATON ROUGE; LA; 70816; Fixed Insurance Sales; Independent Insurance Agent; 2/11/2016; 160; 160; Sale of fixed insurance products. S.E.R.V.E.S. / IVS (INNOVATIVE VEHICLE SOLUTIONS POSITION: Delivery Driver NATURE: Transfer of service vehicles between dealerships. This is for both S.E.R.V.E.S. and its parent company IVS. You may see payment from either company come through. INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 02/21/2022 ADDRESS: 15590 Florida Blvd., Baton Rouge LA 70819, United States DESCRIPTION: Driver NOLA FENCE COMPANY POSITION: Delivery Driver NATURE: driver for Nola Fence Company. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/08/2024 ADDRESS: 16537 Walk Around Ave., Prairieville LA 70769, United States DESCRIPTION: I will be delivering fence panels from one location to another on a as needs basis. I will act as additional support when needed solely as backup.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Anthony Weiser's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joseph Anthony Weiser'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
June 28, 2017 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 5525 Galeria Dr Ste A, Baton Rouge, LA 70816RIA
BD
CRD#: 2882
Baton Rouge, LA
Current
March 17, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 5525 Galeria Dr Ste A, Baton Rouge, LA 70816RIA
BD
CRD#: 2882
Baton Rouge, LA
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".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Arkansas(1/3/2022)
RR
California(6/24/2024)
RR
Colorado(2/25/2021)
RR
Florida(3/21/2022)
RR
Georgia(8/13/2021)
RR
Louisiana(3/17/2015)
IAR
Louisiana(6/28/2017)
RR
Mississippi(1/2/2018)
RR
Tennessee(7/9/2021)
RR
Texas(2/19/2019)
IAR
Texas(2/19/2019)
RR
Virginia(11/16/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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 FINANCIAL ADVISORS, INC.
CRD#: 2882Baton Rouge, LA 70816TRUST BUT VERIFY
Monitor Joseph Weiser
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
