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CLAYTON DAVID COX
CRD#: 4563892
IA
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VOYA RETIREMENT ADVISORS, LLCCRD#: 3989 ONE ORANGE WAY
WINDSOR, CT 06095
WINDSOR, CT 06095
VOYA FINANCIAL PARTNERS, LLCCRD#: 34815 Omaha, NE
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Disclosures
22
Years of Experience
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State Registrations
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Nebraska 9/30/2019
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Nebraska 10/2/2019
SRO Registrations
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Registered with this firm since 10/25/2019
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Registered with this firm since 10/24/2019
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| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 10/28/2019 - 07/12/2023 | WINDSOR, CT | |
B | 10/24/2019 - 12/31/2020 | WEST CHESTER, PA | |
IA | 07/27/2015 - 09/09/2019 | OMAHA, NE | |
B | 07/22/2015 - 09/09/2019 | OMAHA, NE | |
IA | 08/08/2011 - 07/13/2015 | OMAHA, NE | |
B | 08/05/2011 - 07/13/2015 | OMAHA, NE | |
IA | 09/27/2007 - 07/26/2011 | LA VISTA, NE | |
B | 07/25/2005 - 07/26/2011 | LAVISTA, NE | |
B | 09/24/2002 - 06/27/2005 | MALVERN, PA |
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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.
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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.