Individual Firm
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ALAN J BRUBAKER
CRD#: 4225673
IA
B
VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 2217 N MACGREGOR WAY
HOUSTON, TX 77004
HOUSTON, TX 77004
0
Disclosures
23
Years of Experience
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State Registrations
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California 10/1/2013
B
New York 6/18/2024
B
Florida 3/21/2022
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New York 6/18/2024
B
Georgia 7/21/2022
B
Ohio 1/3/2011
B
Illinois 4/4/2023
B
Tennessee 1/8/2016
B
Kansas 1/9/2023
B
Texas 1/3/2011
B
Louisiana 10/22/2018
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Texas 1/3/2011
B
Michigan 10/7/2021
B
Washington 2/22/2018
B
Minnesota 2/23/2022
SRO Registrations
B
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IA
Registered with this firm since 1/3/2011
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Registered with this firm since 1/3/2011
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 05/31/2007 - 01/03/2011 | AUSTIN, TX | |
B | 11/13/2006 - 01/03/2011 | AUSTIN, TX | |
B | 03/14/2005 - 01/03/2006 | BIRMINGHAM, AL | |
B | 01/09/2001 - 03/07/2005 | CHICAGO, IL | |
B | 11/08/2000 - 12/11/2000 | CHICAGO, IL |
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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.