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Current Employers
Voya Financial Advisors, Inc.

One Orange Way, Windsor, CT 06095 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2011-01-03
  • TX RA
    APPROVED
    Since 2011-01-03

Branch Locations

13330 Leopard Ste 27, Corpus Christi, TX 78410 • United States

621 University Blvd, Galveston, TX 77550 • United States

24 Greenway Plaza Ste 1725, Houston, TX 77046 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
The Whitetail Hunting Lodge Corpus Christi TX 07/1995 Present
Glaser Financial Galveston TX 06/2011 Present
Voya Financial Advisors Galveston TX 09/2014 Present
  • 07/1995 → Present
    The Whitetail Hunting Lodge
    Corpus Christi, TX
  • 06/2011 → Present
    Glaser Financial
    Galveston, TX
  • 09/2014 → Present
    Voya Financial Advisors
    Galveston, TX
Previous Registrations
  • 1993-10-15 → 2011-01-03
    Voya Financial Partners, Llc
    Corpus Christi, TX
    Hartford, CT
    Corpus Christi, TX
    Houston, TX
Other Businesses

NAME OF ENTITY:Glaser Financial Services; Yes; 621 UNIVERSITY BLVD; GALVESTON; TX; 77550; insurance and financial services; Owner, independet agent; 6/23/2011; 240; 240; Manage operations, proivde insurance and financial services to clients.|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 621 UNIVERSITY BLVD; GALVESTON; TX; 77550; fixed insurance sales; INDEPENDENT INSURANCE AGENT; 3/17/2011; 160; 160; sales of fixed insurance|NAME OF ENTITY:The Whitetail Hunting Lodge; No; 13330 LEOPARD STREET, Suite 27; CORPUS CHRISTI; TX; 78410; hunting lodge; Owner, Proprietor; 7/16/1995; 4; 0; HUNTING LODGE/LOCAL HUNTING GUIDES|NAME OF ENTITY:Richard Glaser-NOTARY; No; 621 University Blvd; Galveston; TX; 77550; Notary; Notary; 1/1/1995; 1; 1; Notarize signatures|

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 1986-03-27
  • S63 Uniform Securities Agent State Law Examination
    1986-03-27
Other Names
  • Dick Glaser

View on SEC IAPD

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