Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
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Detailed Report
Registration History
20082010201220142016201820202022202420262 FIRMS2007 - 2009 (1 year)2 FIRMS2009 - 2012 (3 years)3 FIRMS2012 - 2015 (2 years)2 FIRMS2015 - 2016 (1 year)2 FIRMS2016 - Present (8 years)
Disclosure(s)
View By:
9/6/2011
Customer Dispute
Denied
License(s)

State Registrations

B
Indiana 9/21/2016
IA
Indiana 10/6/2016

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)
FISHERS, IN
Registered with this firm since 10/6/2016
B
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
FISHERS, IN
Registered with this firm since 9/13/2016
Previous Registration(s)
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IA
 04/13/2015 - 09/21/2016 CETERA INVESTMENT ADVISERS LLC (CRD#:105644) CARMEL, IN
B
 04/15/2015 - 09/21/2016 CETERA INVESTMENT SERVICES LLC (CRD#:15340) CARMEL, IN
IA
 09/12/2012 - 03/03/2015 AMERIVEST INVESTMENT MANAGEMENT, LLC (CRD#:111514) INDIANAPOLIS, IN
IA
 09/12/2012 - 03/03/2015 TD AMERITRADE, INC. (CRD#:7870) INDIANAPOLIS, IN
B
 09/11/2012 - 03/03/2015 TD AMERITRADE, INC. (CRD#:7870) INDIANAPOLIS, IN
IA
 07/17/2009 - 09/04/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
B
 07/17/2009 - 09/04/2012 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) INDIANAPOLIS, IN
IA
 11/13/2007 - 07/01/2009 EDWARD JONES (CRD#:250) INDIANAPOLIS, IN
B
 10/26/2007 - 07/01/2009 EDWARD JONES (CRD#:250) INDIANAPOLIS, IN
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.