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Current Employers
Voya Retirement Advisors, Llc

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2021-04-30
  • CA RA
    APPROVED
    Since 2021-04-30

Branch Locations

One Orange Way, Windsor, CT 06095 • United States

Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2020-01-21
  • CA RA
    APPROVED
    Since 2020-01-21

Branch Locations

Simi Valley, CA • United States

Roseville, CA • 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
Scottrade Pleasanton CA 09/2015 10/2016
Wells Fargo Advisors, Llc San Francisco CA 01/2017 12/2018
Unemployed San Francisco CA 10/2016 12/2016
Unemployed Alameda CA 01/2018 01/2019
Voya Financial Advisors, Inc. Alameda CA 01/2019 Present
Voya Retirement Advisors San Francisco CA 04/2021 Present
  • 09/2015 → 10/2016
    Scottrade
    Pleasanton, CA
  • 01/2017 → 12/2018
    Wells Fargo Advisors, Llc
    San Francisco, CA
  • 10/2016 → 12/2016
    Unemployed
    San Francisco, CA
  • 01/2018 → 01/2019
    Unemployed
    Alameda, CA
  • 01/2019 → Present
    Alameda, CA
  • 04/2021 → Present
    Voya Retirement Advisors
    San Francisco, CA
Previous Registrations
  • 2017-01-19 → 2018-12-03
    San Francisco, CA
  • 2016-04-25 → 2016-10-27
    Scottrade Investment Management
    Saint Louis, MO
    Pleasanton, CA
  • 2015-03-05 → 2015-09-25
    Bancwest Investment Services, Inc.
    Fremont, CA
    Fremont, CA
    Milpitas, CA
    San Ramon, CA
    Danville, CA
    Dublin, CA
  • 2014-10-06 → 2015-02-19
    San Jose, CA
  • 2012-01-04 → 2014-01-28
    Harrisdirect Llc
    Arlington, VA
  • 2009-07-01 → 2012-01-09
    Danville, CA
    San Ramon, CA
    Greenbrae, CA
    Kentfield, CA
    Mill Valley, CA
    San Rafael, CA
    San Rafael, CA
    San Ramon, CA
    San Rafael, CA
    Petaluma, CA
    Tiburon, CA
    Corte Madera, CA
    San Anselmo, CA
    Alamo, CA
    San Leandro, CA
    Pleasanton, CA
    San Francisco, CA
    Hayward, CA
    South San Francisco, CA
    Daly City, CA
    Hayward, CA
    Mill Valley, CA
    San Francisco, CA
  • 2006-01-11 → 2006-06-26
    Millbrae, CA
    Millbrae, CA
  • 2004-07-12 → 2005-01-18
    Citicorp Investment Services
    San Francisco, CA
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2004-07-09
S63 Uniform Securities Agent State Law Examination 2003-05-05
  • S66 Uniform Combined State Law Examination
    2004-07-09
  • S63 Uniform Securities Agent State Law Examination
    2003-05-05
Other Names
  • Tony Chiu

View on SEC IAPD

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