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Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2020-04-29
NE RA APPROVED 2011-01-03
  • TX RA
    APPROVED_RES
    Since 2020-04-29
  • NE RA
    APPROVED
    Since 2011-01-03

Branch Locations

14301 Fnb Parkway Ste 203, Omaha, NE 68154 • United States

7000 North Mopac Expressway Suite 240, Austin, TX 78731 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Voya Financial Advisors Omaha NE 09/2014 Present
  • 09/2014 → Present
    Voya Financial Advisors
    Omaha, NE
Previous Registrations
  • 2002-08-12 → 2011-01-03
    Voya Financial Partners, Llc
    Overland Park, KS
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Overland Park, KS
Other Businesses

INDEPENDENT INSURANCE AGENT POSITION: INDEPENDENT INSURANCE AGENT NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 05/13/2011 ADDRESS: 14301 FNB Parkway, Suite 203, Omaha NE 68154, United States DESCRIPTION: SALES OF FIXED INSURANCE PRODUCTS

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-07-10
S63 Uniform Securities Agent State Law Examination 1994-07-05
  • S65 Uniform Investment Adviser Law Examination
    2002-07-10
  • S63 Uniform Securities Agent State Law Examination
    1994-07-05
Other Names
  • Mike Cain
  • Michael A Cain

View on SEC IAPD

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