Individual Firm
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JOHN FRANCIS ROESCH
CRD#: 1679100
IA
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VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 7965 North High Street, Suite 150
Columbus, OH 43235
Columbus, OH 43235
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2/12/1982
Criminal
Final Disposition
State Registrations
B
Ohio 1/3/2011
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Ohio 1/3/2011
SRO Registrations
B
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Learn about permitted activities of registered principals
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Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 09/23/2005 - 01/03/2011 | COLUMBUS, OH | |
B | 05/16/2001 - 01/03/2011 | COLUMBUS, OH | |
B | 10/30/1997 - 05/17/2001 | HOUSTON, TX | |
B | 06/03/1987 - 05/17/2001 | HOUSTON, TX |
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Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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