Christopher Alan Yates

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_RES	2021-06-18
NY	RA	APPROVED	2021-05-13

TX RA
APPROVED_RES

Since 2021-06-18
NY RA
APPROVED

Since 2021-05-13

Branch Locations

Rocky City Falls, NY • 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

Organization	City	State	From	To
Voya Financial Advisors	Rocky City Falls	NY	09/2014	Present

09/2014 → Present

Voya Financial Advisors

Rocky City Falls, NY

Other Businesses

NAME OF ENTITY:Christopher Yates - Rental Property; No; ; GLOVERSVILLE; NY; ; Rental Property; Owner; 3/1/2015; 1; 0; Rent out property.| NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 1399 ARMER RD; ROCKY CITY FALLS; NY; 12863; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 6/20/2014; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.| NAME OF ENTITY:Maple Rock Farm; No; 1399 Armer Rd; Rock City Falls; NY; 12863; Retail Honey and Maple Syrup; Owner; 4/1/2020; 3; 0; Produce and sell honey and maple syrup|

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2014-08-04

S63 Uniform Securities Agent State Law Examination

2014-08-04

View on SEC IAPD