Joseph Y. Frankenfield

SAGA PARTNERS LLC

Rocky River, OH

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CRD#: 6450217

Professional summary

Joseph York Frankenfield, who also goes by Joe Frankenfield, is a registered financial advisor currently at SAGA PARTNERS LLC located in Rocky River, Ohio.

Joseph is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Joseph has worked at 2 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Joe Frankenfield

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) - RIA

Click below to view Joseph York Frankenfield'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

October 20, 2016 - Present

SAGA PARTNERS LLC

RIA

CRD#: 156577

Rocky River, OH

Past

April 7, 2015 - July 12, 2016

KEYBANC CAPITAL MARKETS INC.

CRD#: 566

CLEVELAND, OH

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.

Highlighted states indicate IAR registrations

IAR

Ohio
(10/20/2016)

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.

Exams

State Security Law Exam

Series 63

Date: 7/10/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 7/12/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 6/19/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 4/7/2015

General Securities Representative Examination

Current Firm

SAGA PARTNERS LLC

CRD#: 156577 / SEC#: 801-122448

RIA

Registered Investment Advisory firm - (6/30/2024 Terminated)

Ohio

Registered Investment Advisory firm - (3/22/2011 Approved)

Washington

Registered Investment Advisory firm - (7/3/2017 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).

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Contact information

Main Address

Rocky River, OH

Mailing Address

Phone number

(480) 678-2950

Established

Firm type

Fiscal year end

# of Employees

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	56
AUM (Assets Under Management)	$ 25,012,968

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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Joseph Y. Frankenfield

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Joseph York Frankenfield's CRS (Customer Relationship Summary).

Certified licenses

Experience

SAGA PARTNERS LLC

KEYBANC CAPITAL MARKETS INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 7/10/2015

SIE

Date: 7/12/2016

Series 87

Date: 6/19/2015

Series 7

Date: 4/7/2015

Current Firm

SAGA PARTNERS LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SAGA PARTNERS LLC

TRUST BUT VERIFY

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