VOYA FINANCIAL ADVISORS, INC. of WINDSOR, CT is an SEC-registered investment adviser (CRD 2882). Regulatory assets under management: $3.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed, Commissions.
Clients served: Individuals, High net worth, Pooled vehicles, Charities.
Showing 25 of 72 people.
| Name | Role | Location |
|---|---|---|
| Gordon Avery | CHIEF COMPLIANCE OFFICER | Arlington, VA |
| Shannon Daniel Hogendorn | AVP, ACCOUNT SERVICES | — |
| Jonathan Francis Reilly | PRESIDENT | — |
| Stephan Anthony Paasch | CHIEF COMPLIANCE OFFICER | — |
| Frederick Henry Bohn | CHIEF FINANCIAL OFFICER | — |
| John J Depratti | VP, OPERATIONS PRINCIPAL | — |
| Andre T Carrier | CHIEF OPERATIONS OFFICER | — |
| Kristin Henderson Hultgren | CHIEF FINANCIAL OFFICER | — |
| Bruce Alan Dehaan | VICE PRESIDENT, OPERATIONS DIRECTOR | — |
| BARHORST RONALD RICHARD | VICE-PRESIDENT | — |
| CICCATI RANDALL LEE | DIRECTOR; DIRECTOR, VICE PRESIDENT | — |
| ENGELKE PAULA CLUDRAY | SECRETARY | — |
| SIMMERS JOHN STEPHEN | DIRECTOR; DIRECTOR, CHAIRMAN & VICE PRESIDENT; DIRECTOR/EXECUTIVE VICE PRESIDENT (+1 more) | — |
| HAMEL CYNTHIA A | DIRECTOR | — |
| MARR NORMAN MARK | CHAIRMAN, VICE PRESIDENT & DIRECTOR; VICE PRESIDENT; VICE PRESIDENT, DIRECTOR (+1 more) | — |
| ROBINSON CHARLES DAVID | PRESIDENT | — |
| WOODS ANITA FAYE | CHIEF FINANCIAL OFFICER | — |
| PENDERGRASS DAVID SCOTT | VICE PRESIDENT & ASSISTANT TREASURER | — |
| BROWN VALERIE GAY | DIRECTOR; DIRECTOR AND EXECUTIVE VICE PRESIDENT | — |
| CUNNINGHAM KERRY ELIZABETH | DIRECTOR | — |
| SCHWARTZ DAVID HOWARD | VP/CHIEF COMPLIANCE OFFICER/CROP | — |
| LINDBERG KARL STEPHEN | DIRECTOR; PRESIDENT, CHIEF EXECUTIVE OFFICER & DIRECTOR; VICE PRESIDENT | — |
| STYCH KEVIN PAUL | DIRECTOR, VICE PRESIDENT, SALES AND MARKETING; VICE PRESIDENT, SALES AND MARKETING | — |
| LARAIA KEVIN MICHAEL | DIRECTOR, VICE PRESIDENT; DIRECTOR, VICE PRESIDENT- OPERATIONS & SROP; DIRECTOR, VICE PRESIDENT, & SROP (+2 more) | — |
| COKINIS CHRISTOPHER ALEX | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & SECRETARY; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, SECRETARY AND CROP | — |
Showing 10 of 20 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-13 | regulatory | THE ARIZONA CORPORATION COMMISSION, SECURITIES DIVISION ALLEGED THAT VFA VIOLATED ARIZONA REVISED STATUTES SECTION 44-1961(A)(12) BY FAILING TO REASONABLY SUPERVISE ITS SALESMAN. THE SALESMAN, AN EMPLOYEE OF VFA, CONDUCTED BACK-OFFICE TRANSACTIONS IN SECURITIES ON BEHALF OF PORTFOLIO MANAGERS. IN 20… | Final | $75K |
| 2024-01-25 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT BETWEEN MARCH 2018 AND SEPTEMBER 2019, VOYA FINANCIAL ADVISORS, INC. (FIRM) PAID APPROXIMATELY $2.9 MILION TO AN UNREGISTERED ENTTIY IN CONNECTION WITH THE SALE OF VARIABLE UNIVERSAL LIFE INSURANCE (VUL), A SECURITIES PRODUCT. THE FIRM… | Final | $500K |
| 2020-12-21 | regulatory | VOYA FINANCIAL ADVISORS, INC. ("FIRM") HAS SUBMITTED AN OFFER OF SETTLEMENT THAT THE SECURITIES AND EXCHANGE COMMISSION ("SEC") HAS AGREED TO ACCEPT. THE FIRM AGREES, WITHOUT ADMITTING OR DENYING SUCH FINDINGS, THAT IT VIOLATED SECTIONS 206(2) AND 206(4) OF THE INVESTMENT ADVISERS ACT AND RULE 206(4… | Final | $9.0M |
| 2019-04-23 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. (FIRM) DISADVANTAGED CERTAIN RETIREMENT PLAN AND CHARITABLE ORGANIZATION CUSTOMERS THAT WERE ELIGIBLE TO PURCHASE CLASS A SHARES IN CERTAIN MUTUAL FUNDS WITHOUT A FRONT-END SALES CHARGE (ELIGIBLE CUSTOMERS… | Final | — |
| 2018-09-26 | regulatory | SEC ADMIN RELEASE 34-84288; IA RELEASE 40-5048, SEPTEMBER 26, 2018: THE SECURITIES AND EXCHANGE COMMISSION (THE "COMMISSION") DEEMS IT APPROPRIATE AND IN THE PUBLIC INTEREST THAT PUBLIC ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS BE INSTITUTED AGAINST VOYA FINANCIAL ADVISORS, INC. ("VFA" OR "RES… | Final | $1.0M |
| 2018-04-23 | regulatory | THE SECURITIES AND BUSINESS INVESTMENTS DIVISION OF THE CONNECTICUT DEPARTMENT OF BANKING ("DIVISION") ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. ("FIRM") VIOLATED SECTION 36B-31-6(F) OF THE REGULATIONS OF CONNECTICUT STATE AGENCIES (THE "REGULATIONS") BY FAILING TO ENFORCE AND MAINTAIN A SYSTEM FOR… | Final | $100K |
| 2017-07-27 | regulatory | THE COMMONWEALTH OF MASSACHUSETTS SECURITIES DIVISION ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. ("FIRM") VIOLATED THE MASSACHUSETTS UNIFORM SECURITIES ACT, MASS. GEN. LAWS CH. 110A ("ACT'), BY FAILING TO REGISTER TWO (2) OF ITS INVESTMENT ADVISER REPRESENTATIVES WHO HAD A PLACE OF BUSINESS IN MASSA… | Final | $75K |
| 2017-03-08 | regulatory | THE SECURITIES AND EXCHANGE COMMISSION (SEC) ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. (FIRM), IN ITS ROLE AS A REGISTERED INVESTMENT ADVISER, FAILED TO DISCLOSE TO ITS CLIENTS THE COMPENSATION IT RECEIVED THROUGH AN ARRANGEMENT WITH A THIRD PARTY BROKER-DEALER (CLEARING FIRM), AND CONFLICTS OF INT… | Final | $300K |
| 2017-03-01 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. (FIRM) FAILED TO REPORT TO TRACE 100 TRANSACTIONS IN TRACE AGENCY/SECURITIZED PRODUCTS (SP) WITHIN THE TIME PERMITTED BY FINRA RULE 6730, CONSTITUTING 26.25 PERCENT OF THE TRANSACTIONS IN TRACE-ELIGIBLE SP… | Final | $8K |
| 2016-11-02 | regulatory | THE FINANCIAL INDUSTRY REGULATORY AUTHORITY (FINRA) ALLEGED THAT VOYA FINANCIAL ADVISORS, INC. (FIRM) FAILED TO (A) IMPLEMENT A SUPERVISORY SYSTEM AND PROCEDURES DESIGNED TO REASONABLY ENSURE SUITABILITY OF ITS MULTI-SHARE CLASS VARIABLE ANNUITIES SOLD TO CUSTOMERS, (B) IDENTIFY AND INVESTIGATE RED… | Final | $2.8M |