Richard D. White
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.
Richard Duane White, who also goes by Rick White, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1985. Richard had worked at 10 firms and has passed the Series 65, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 7, 1997 - December 4, 1998
VOYA FINANCIAL ADVISORS, INC.
January 31, 1997 - April 7, 1997
OSAIC WEALTH, INC.
January 5, 1995 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
November 22, 1993 - December 31, 1994
MARINER FINANCIAL SERVICES, INC.
April 13, 1992 - December 15, 1993
VOYA FINANCIAL ADVISORS, INC.
February 26, 1992 - April 16, 1996
THE PAUL REVERE VARIABLE ANNUITY INSURANCE COMPANY
April 25, 1991 - January 21, 1992
IDS LIFE INSURANCE COMPANY
April 25, 1991 - January 21, 1992
AMERIPRISE FINANCIAL SERVICES, LLC
February 19, 1991 - April 10, 1991
KEOGLER, MORGAN & COMPANY, INC.
January 8, 1991 - March 4, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 8, 1991 - March 4, 1991
EQUITABLE ADVISORS, LLC
January 27, 1989 - July 20, 1989
IDS LIFE INSURANCE COMPANY
January 27, 1989 - July 20, 1989
AMERIPRISE FINANCIAL SERVICES, LLC
May 19, 1988 - December 13, 1990
NEW ENGLAND SECURITIES
November 20, 1985 - December 13, 1990
NEW ENGLAND SECURITIES
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
