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John W. Worley
John Wayne Worley, John Worley
CRD#: 1939429
IA
B
VOYA RETIREMENT ADVISORS, LLCCRD#: 3989 Edmond, OK
VOYA FINANCIAL PARTNERS, LLCCRD#: 34815 Edmond, OK
View By:
8/22/2002
Customer Dispute
Settled
State Registrations
B
Oklahoma 2/21/2024
B
Pennsylvania 6/12/2023
IA
Oklahoma 2/21/2024
IA
Pennsylvania 6/12/2023
SRO Registrations
B
View Exams Passed by the individual in the detailed report
Learn about permitted activities of registered representatives
Learn about permitted activities of registered principals
IA
B
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 06/12/2023 - 07/19/2023 | Macungie, PA | |
IA | 03/29/2023 - 04/11/2023 | ALLENTOWN, PA | |
IA | 01/12/2022 - 03/08/2023 | Macungie, PA | |
B | 12/16/2021 - 03/08/2023 | Macungie, PA | |
IA | 05/07/2021 - 11/09/2021 | Oklahoma City, OK | |
B | 05/07/2021 - 11/09/2021 | Oklahoma City, OK | |
IA | 10/30/2019 - 05/05/2021 | OKLAHOMA CITY, OK | |
B | 10/22/2019 - 05/05/2021 | OKLAHOMA CITY, OK | |
IA | 07/30/2018 - 09/17/2019 | OKLAHOMA CITY, OK | |
B | 08/07/2017 - 09/17/2019 | OKLAHOMA CITY, OK | |
B | 09/20/2013 - 08/17/2017 | SPRINGFIELD, IL | |
B | 03/13/2012 - 08/06/2013 | RESTON, VA | |
B | 01/19/2000 - 02/27/2002 | SPRINGFIELD, MA | |
B | 01/19/2000 - 02/27/2002 | NEW YORK, NY | |
B | 09/18/1998 - 09/20/1999 | NEW YORK, NY | |
B | 11/18/1996 - 09/18/1998 | FORT WAYNE, IN | |
B | 11/18/1996 - 09/18/1998 | FORT WAYNE, IN | |
B | 09/16/1996 - 10/29/1996 | ||
B | 04/18/1989 - 10/29/1996 | NEWARK, NJ | |
B | 04/18/1989 - 12/10/1993 | NEWARK, NJ |
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B
Broker A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.