James Bermingham

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

Authority	Category	Status	Date
TX	RA	APPROVED	2023-04-28
WA	RA	APPROVED	2023-02-23

TX RA
APPROVED

Since 2023-04-28
WA RA
APPROVED

Since 2023-02-23

Branch Locations

Federal Way, WA • 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

Organization	City	State	From	To
Bank Of America, N.A./Merrill Lynch	Federal Way	WA	11/2019	09/2021
Highline College	Des Moines	WA	07/2014	11/2019
Edward Jones	St Louis	MO	10/2021	05/2022
E*Trade Securities Llc	Kirkland	WA	06/2022	02/2023
E*Trade Capital Management Llc	Kirkland	WA	06/2022	02/2023
Voya Financial Advisors	Windsor	CT	02/2023	Present

11/2019 → 09/2021

Bank Of America, N.A./Merrill Lynch

Federal Way, WA
07/2014 → 11/2019

Highline College

Des Moines, WA
10/2021 → 05/2022

Edward Jones

St Louis, MO
06/2022 → 02/2023

E*Trade Securities Llc

Kirkland, WA
06/2022 → 02/2023

E*Trade Capital Management Llc

Kirkland, WA
02/2023 → Present

Voya Financial Advisors

Windsor, CT

Previous Registrations

2022-06-14 → 2023-02-17

Harrisdirect Llc

Arlington, VA

Kirkland, WA
2021-10-01 → 2022-05-20

Edward Jones

Federal Way, WA
2021-02-22 → 2021-09-30

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Federal Way, WA

New York, NY

Tacoma, WA

Tacoma, WA

Other Businesses

JAMES BERMINGHAM POSITION: Financial Advisor NATURE: fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 31844 18th ave SW, D, federal way WA 98023, United States DESCRIPTION: Sales of fixed insurance BERMINGHAM CAPITAL LLC POSITION: Owner NATURE: LLC set up for the purpose of being able to hire a NRAP as an administrative assistant for my role as a financial advisor with Voya. This LLC is used for running payroll to pay NRAP admin assistant. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/24/2025 ADDRESS: 31844 18th Ave SW, Apt D, FEDERAL WAY WA 98023, United States DESCRIPTION: As owner of this LLC, my primary responsibility is to run payroll to pay for NRAP admin and file any taxes at both state and federal level.

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2021-02-19

S66 Uniform Combined State Law Examination

2021-02-19

Other Names

James Brendan Bermingham

View on SEC IAPD