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Employer firm

Voya Financial Advisors, Inc. CRD 2882

$3.87B regulatory AUM 120 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Selection of other advisers
  • Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2011-01-03
  • CA RA
    APPROVED
    Since 2011-01-03

Branch Locations

San Jose, CA • United States

1201 Pacific Ave Suite 600, Tacoma, WA 98402 • 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 San Jose CA 09/2014 Present
Voya Financial Partners San Jose CA 09/2014 Present
Voya Financial Advisors San Jose CA 09/2014 Present
  • 09/2014 → Present
    Voya Financial
    San Jose, CA
  • 09/2014 → Present
    Voya Financial Partners
    San Jose, CA
  • 09/2014 → Present
    Voya Financial Advisors
    San Jose, CA
Previous Registrations
  • 2006-09-20 → 2011-01-03
    Voya Financial Partners, Llc
    San Francisco, CA
    San Francisco, CA
    San Jose, CA
  • 2003-11-18 → 2006-08-29
    Td Ameritrade, Inc.
    San Jose, CA
    Campbell, CA
  • 2006-04-24 → 2006-08-29
    Td Ameritrade Investment Management, Llc
    San Jose, CA
  • 2002-12-05 → 2003-07-25
    Morgan Stanley Dw Inc.
    Cupertino, CA
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2002-12-03
S63 Uniform Securities Agent State Law Examination 2002-11-21
  • S65 Uniform Investment Adviser Law Examination
    2002-12-03
  • S63 Uniform Securities Agent State Law Examination
    2002-11-21
Other Names
  • Peter Ng
  • Wing Ng
  • Peter Yiu Ng

View on SEC IAPD

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