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Detailed Report
STEPHEN MATHEW KARAKIS
CRD#: 2623611
IA
Investment Adviser
B
Broker
VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 10700 WEST RESEARCH DR STE 190
MAYFAIR WOODS AT RESEARCH PARK
MILWAUKEE, WI 53226
Registration History
1995200020052010201520202025IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2015 - Present (9 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2011 - Present (14 years)BING FINANCIAL ADVISERS, LLC (CRD# 34815)1995 - 2011 (15 years)BAETNA FINANCIAL SERVICES, INC. (CRD# 13255)1998 - 2000 (2 years)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2011 - 2015 (4 years)IAING FINANCIAL ADVISERS, LLC (CRD# 34815)2009 - 2011 (2 years)
Disclosure(s)
View By:
12/15/2010
Judgment / Lien
12/15/2010
Judgment / Lien
12/15/2010
Judgment / Lien
12/15/2010
Judgment / Lien
12/15/2010
Judgment / Lien
License(s)

State Registrations

B
Arizona 1/3/2011
B
Texas 5/21/2022
B
California 5/23/2022
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Texas 5/24/2022
B
Florida 5/23/2022
B
Wisconsin 10/6/2015
B
Illinois 1/3/2011
IA
Wisconsin 10/6/2015
B
Minnesota 1/5/2022

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
10700 WEST RESEARCH DR STE 190 MAYFAIR WOODS AT RESEARCH PARK, MILWAUKEE, WI 53226
Registered with this firm since 10/6/2015
B
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
10700 WEST RESEARCH DR STE 190 MAYFAIR WOODS AT RESEARCH PARK, MILWAUKEE, WI 53226
Registered with this firm since 1/3/2011
Previous Registration(s)
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 01/03/2011 - 09/30/2015 VOYA FINANCIAL ADVISORS, INC. (CRD#:2882) MILWAUKEE, WI
IA
 01/08/2009 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) MILWAUKEE, WI
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 06/30/1995 - 01/03/2011 ING FINANCIAL ADVISERS, LLC (CRD#:34815) MILWAUKEE, WI
B
 08/11/1998 - 09/23/2000 AETNA FINANCIAL SERVICES, INC. (CRD#:13255) HARTFORD, CT
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
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
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.