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Stephen Adam Brown

Voya Financial Advisors, Inc.

Barrington, RI

Windsor, CT

CRD 2652011

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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
RI RA APPROVED 2011-01-03
  • RI RA
    APPROVED
    Since 2011-01-03

Branch Locations

Barrington, RI • United States

One Orange Way B1S, Windsor, CT 06095 • 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 Barrington RI 09/2014 Present
  • 09/2014 → Present
    Voya Financial Advisors
    Barrington, RI
Previous Registrations
  • 2008-01-17 → 2011-01-03
    Voya Financial Partners, Llc
    N. Quincy, MA
    Barrington, RI
    Waltham, MA
  • 2000-07-26 → 2006-03-21
    Wright Investors Service Inc
    Milford, CT
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1995-10-27
S63 Uniform Securities Agent State Law Examination 1995-10-20
  • S65 Uniform Investment Adviser Law Examination
    1995-10-27
  • S63 Uniform Securities Agent State Law Examination
    1995-10-20
Other Names
  • Stephen A Brown

View on SEC IAPD

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