Stuart W. Fenton
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.
Stuart William Fenton, who also goes by Stu Fenton, Stuart W Fenton, was a registered financial professional .
Stuart is a previously registered financial professional and started their career in finance in 1983. Stuart had worked at 6 firms and has passed the Series 63, Series 7, Series 2, Series 1 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2008 - January 10, 2013
VOYA INVESTMENT MANAGEMENT CO. LLC
December 16, 2008 - January 10, 2013
VOYA INVESTMENTS DISTRIBUTOR, LLC
January 8, 2002 - February 7, 2007
VOYA INVESTMENTS DISTRIBUTOR, LLC
July 13, 2001 - December 31, 2001
AELTUS CAPITAL, INC
October 15, 1993 - June 18, 2001
VOYA FINANCIAL PARTNERS, LLC
May 22, 1991 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 22, 1990 - October 15, 1993
AELTUS CAPITAL, INC
June 21, 1984 - October 10, 1985
AETNA FINANCIAL SERVICES, INC.
June 19, 1983 - August 20, 1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY
Primary Firm SEC Registration
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
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 2
Date: 1/26/1983
Non-Member General Securities ExaminationSeries 1
Date: 1/26/1973
Registered Representative ExaminationCurrent Firm
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2024 | ||
| 10/26/2023 | ||
| 10/28/2022 |
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.
