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Detailed Report
KATHLEEN ANNE THOMPSON
KATE THOMPSON, KATHLEEN THOMPSON
CRD#: 6122446
IA
Investment Adviser
B
Broker
VOYA FINANCIAL ADVISORS, INC.CRD#: 2882 ONE ORANGE WAY, C4-S
WINDSOR, CT 06095
VOYA FINANCIAL PARTNERS, LLCCRD#: 34815 Enfield, CT
Registration History
20122014201620182020202220242026BVOYA FINANCIAL PARTNERS, LLC (CRD# 34815)2025 - Present (<1 year)IAVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2018 - Present (6 years)BVOYA FINANCIAL ADVISORS, INC. (CRD# 2882)2013 - Present (11 years)BDIRECTED SERVICES LLC (CRD# 21675)2012 - 2013 (1 year)
License(s)

State Registrations

B
Connecticut 10/29/2013
IA
Connecticut 5/11/2018

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)
B
VOYA FINANCIAL PARTNERS, LLC (CRD#:34815)
Enfield, CT
Registered with this firm since 2/12/2025
IA
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
ONE ORANGE WAY, C4-S, WINDSOR, CT 06095
Enfield, CT
Registered with this firm since 5/11/2018
B
VOYA FINANCIAL ADVISORS, INC. (CRD#:2882)
ONE ORANGE WAY, C4-S, WINDSOR, CT 06095
Enfield, CT
Registered with this firm since 10/29/2013
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 10/22/2012 - 11/01/2013 DIRECTED SERVICES LLC (CRD#:21675) WINDSOR, CT
For additional information about investment advisers or broker-dealers, please visit
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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
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.