Frank E. Yozwiak
BALLAST
Lexington, KY 40507
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CRD#: 6864231
Professional summary
Frank Edward Yozwiak, CFP® is a registered financial advisor currently at BALLAST, INC. located in Lexington, Kentucky.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Frank has worked at 1 firm and has passed the Series 65 exam.
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.
(1) - Sorbothane, Inc is a non-investment related business (manufacturing) located in Kent, Ohio. Act as a Consultant and minority owner providing consulting services to management. This activity began in October 2003. IAR spends 4-8 hours a month on this venture. (2) - Sorbo Hldings, LLC is a non-investment related business (manufacturing) located in Kent, Ohio. Act as a Consultant and minority owner providing consulting services to management. This activity began in October 2003. IAR spends 4-8 hours a month on this venture. (3) - The name of the other business: Frank Yozwiak Whether the business is investment-related: NO The nature of the other business: Insurance Agent Your position, title, or relationship with the other business: Agent The start date of your relationship: 03/2019 The approximate number of hours/month you devote to the other business: 1-2 The number of hours you devote to the other business during securities trading hours: 1-2 Briefly describe your duties relating to the other business: Sales and service (4) - The name of the other business: Impact Products LLC Whether the business is investment-related: NO The nature of the other business: Sales and distribution of impact absorbing pads and accessories Your position, title, or relationship with the other business: Co-Owner The start date of your relationship: 4/27/2020 The approximate number of hours/month you devote to the other business: 0-2 hrs/ week The number of hours you devote to the other business during securities trading hours: 0-2 hrs/ week Briefly describe your duties relating to the other business: Sales and distribution of impact absorbing pads and accessories (5) - Park Early Childhood Center - VP of Board, in addition to Finance Committee.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Edward Yozwiak'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®
CFP®
Start date: 2021
Experience
Current
February 26, 2018 - Present
BALLAST, INC.
Office #1: 400 East Vine St Suite 400, Lexington, KY 40507RIA
CRD#: 152695
Lexington, KY
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".
BI
BALLAST, INC.
BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.
CRD#: 152695 / SEC#: 801-79651
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 Terminated)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
Kentucky(2/26/2018)
Current Firm
BI
BALLAST, INC.
BALLAST, INC. | BOARDMAN WEALTH PLANNING, INC.
CRD#: 152695 / SEC#: 801-79651
RIA
Registered Investment Advisory firm - (4/25/2014 Approved)Kentucky
Registered Investment Advisory firm - (7/2/2014 Terminated)Ohio
Registered Investment Advisory firm - (6/30/2014 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
400 East Vine St Suite 400, Lexington, KY 40507
Mailing Address
Phone number
(859) 226-0625
Established
Firm type
Fiscal year end
# of Employees
12
SEC notice filing (9 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,798 |
| AUM (Assets Under Management) | $ 625,203,027 |
Red Flags
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Company Information
BALLAST, INC.
CRD#: 152695Lexington, KY 40507TRUST BUT VERIFY
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