Christopher T. Day
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Christopher Thomas Day was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1984. Christopher had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 7, Series 6, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2021 - July 7, 2021
VOYA RETIREMENT ADVISORS, LLC
September 5, 2019 - July 7, 2021
VOYA FINANCIAL ADVISORS, INC.
September 3, 2019 - July 7, 2021
VOYA FINANCIAL ADVISORS, INC.
June 10, 2016 - September 4, 2019
NATIONWIDE INVESTMENT ADVISORS, LLC
June 10, 2016 - September 4, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 29, 2008 - October 16, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 11, 1997 - October 16, 2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
August 9, 1993 - November 15, 1994
INVEST FINANCIAL CORPORATION
September 3, 1992 - October 19, 1992
FIRST COLONIAL INVESTMENT SERVICES, INC.
April 2, 1992 - August 14, 1992
CITICORP INVESTMENT SERVICES
February 26, 1992 - August 10, 1992
FINANCIAL HORIZONS SECURITIES CORPORATION
September 17, 1991 - June 3, 1992
FORTH FINANCIAL SECURITIES, CORPORATION
August 6, 1984 - December 24, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
August 6, 1984 - August 12, 1991
AMERIPRISE FINANCIAL SERVICES, LLC
June 11, 1984 - July 25, 1984
FIRST REPUBLIC SECURITIES, INC.
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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