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Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-07-08
  • CT RA
    APPROVED
    Since 2021-07-08

Branch Locations

One Orange Way, C4-S, Windsor, CT 06095 • United States

Sherman, CT • United States

Voya Retirement Advisors, Llc

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
CT RA APPROVED 2021-04-28
  • CT RA
    APPROVED
    Since 2021-04-28

Branch Locations

One Orange Way, Windsor, CT 06095 • United States

Sherman, CT • 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
Guardian Life Insurance Co Rye Brook NY 06/2015 11/2019
Park Avenue Securities Llc Rye Brook NY 07/2015 11/2019
In Between Positions Sherman CT 12/2019 09/2020
Voya Financial Windsor CT 10/2020 Present
Voya Financial Partners Windsor CT 04/2021 Present
Voya Retirement Advisors Windsor CT 04/2021 Present
  • 06/2015 → 11/2019
    Guardian Life Insurance Co
    Rye Brook, NY
  • 07/2015 → 11/2019
    Rye Brook, NY
  • 12/2019 → 09/2020
    In Between Positions
    Sherman, CT
  • 10/2020 → Present
    Voya Financial
    Windsor, CT
  • 04/2021 → Present
    Voya Financial Partners
    Windsor, CT
  • 04/2021 → Present
    Voya Retirement Advisors
    Windsor, CT
Previous Registrations
Other Businesses

Millstone Ridge Tax District; No; 23 Millstone Rd, New Medford, CT; Maintain, Regulate MRTD including community beach, roads, common areas, and other infrastructure, community initiatives; Board Member/ Director; 10/03/2020; 2-10hrs/mo; 0hrs/mo.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2018-03-19
S63 Uniform Securities Agent State Law Examination 2009-12-22
  • S65 Uniform Investment Adviser Law Examination
    2018-03-19
  • S63 Uniform Securities Agent State Law Examination
    2009-12-22
Other Names
  • Michael Thomas Filipp

View on SEC IAPD

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