Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS1998 - 2004 (6 years)2 FIRMS2006 - 2007 (1 year)2 FIRMS2010 - 2010 (<1 year)2 FIRMS2016 - Present (9 years)BFORESIDE FUND SERVICES, LLC (CRD# 46106)2016 - 2016 (<1 year)BQUASAR DISTRIBUTORS, LLC (CRD# 103848)2011 - 2015 (4 years)BCAREY FINANCIAL, LLC (CRD# 15246)2010 - 2011 (<1 year)BCHADWICK SECURITIES, INC. (CRD# 133022)2008 - 2008 (<1 year)BATEL SECURITIES CORPORATION (CRD# 17229)2004 - 2005 (1 year)BA. G. EDWARDS & SONS, INC. (CRD# 4)1997 - 1998 (<1 year)
Disclosure(s)
View By:
9/6/2001
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 8/14/2020
B
Hawaii 9/6/2023
B
California 2/16/2016
B
Nevada 5/9/2016
IA
California 3/9/2016
B
Oregon 12/1/2017
B
Colorado 5/3/2017
B
Washington 12/1/2017

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)
Moraga, CA
Registered with this firm since 3/9/2016
B
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
Moraga, CA
Registered with this firm since 2/16/2016
Previous Registration(s)
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B
 01/04/2016 - 01/29/2016 FORESIDE FUND SERVICES, LLC (CRD#:46106) PORTLAND, ME
B
 06/09/2011 - 12/31/2015 QUASAR DISTRIBUTORS, LLC (CRD#:103848) PORTLAND, ME
B
 09/01/2010 - 04/13/2011 CAREY FINANCIAL, LLC (CRD#:15246) SAN FRANCISCO, CA
IA
 01/06/2010 - 09/08/2010 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WALNUT CREEK, CA
B
 01/01/2010 - 09/08/2010 ROYAL ALLIANCE ASSOCIATES, INC. (CRD#:23131) WALNUT CREEK, CA
B
 01/25/2008 - 10/13/2008 CHADWICK SECURITIES, INC. (CRD#:133022) NEW YORK, NY
IA
 01/24/2006 - 04/10/2007 TURNER INVESTMENT PARTNERS INC (CRD#:105954) BERWYN, PA
B
 01/03/2006 - 02/27/2007 FORESIDE FUND SERVICES, LLC (CRD#:46106) PORTLAND, ME
B
 07/07/2004 - 09/09/2005 ATEL SECURITIES CORPORATION (CRD#:17229) SAN FRANCISCO, CA
IA
 07/07/1998 - 07/06/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) SANTA CLARA, CA
B
 06/15/1998 - 07/06/2004 CITIGROUP GLOBAL MARKETS INC. (CRD#:7059) NEW YORK, NY
B
 09/15/1997 - 06/18/1998 A. G. EDWARDS & SONS, INC. (CRD#:4) ST. LOUIS, MO
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.