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200 Park Avenue, New York, NY 10166 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| DC | RA | APPROVED | 2026-04-29 |
| ND | RA | APPROVED | 2026-04-24 |
| LA | RA | APPROVED | 2026-04-17 |
| NM | RA | APPROVED | 2026-04-15 |
| AZ | RA | APPROVED | 2026-04-14 |
| GA | RA | APPROVED | 2026-04-14 |
| AK | RA | APPROVED | 2026-04-13 |
| DE | RA | APPROVED | 2026-04-13 |
| IL | RA | APPROVED | 2026-04-13 |
| IN | RA | APPROVED | 2026-04-13 |
| KY | RA | APPROVED | 2026-04-13 |
| ME | RA | APPROVED | 2026-04-13 |
| OK | RA | APPROVED | 2026-04-13 |
| RI | RA | APPROVED | 2026-04-13 |
| SC | RA | APPROVED | 2026-04-13 |
| TX | RA | APPROVED | 2026-04-13 |
| VA | RA | APPROVED | 2026-04-13 |
Branch Locations
200 Park Avenue, New York, NY 10166 • United States
Peoria, AZ • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Legg Mason Investor Services, Llc | Orinda | CA | 06/2007 | 08/2020 |
| Clearbridge Investments Llc | New York | NY | 06/2007 | 08/2020 |
| Legg Mason & Co Llc | Scottsdale | AZ | 06/2007 | 08/2020 |
| Transamerica Capital Inc | Denver | CO | 08/2020 | 03/2026 |
| Voya Investments Distributor, Llc | Peoria | AZ | 03/2026 | Present |
| Voya Investment Management | Peoria | AZ | 03/2026 | Present |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-04-13 |
| S66 | Uniform Combined State Law Examination | 2005-07-18 |
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