RK
Robert A. Klein
VOYA FINANCIAL ADVISORS
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 1151710
RK
Professional summary
Robert Alan Klein, who also goes by Robert A Klein, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Robert has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 2 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert A Klein
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
NAME OF ENTITY:University of CT Athletic Dept; No; 1 GAMBEL PAVILION; STORRS; CT; 6268; NCAA athletic dept; chief press stewart, pt employee; 9/1/1972; 10; 0; assist sports information director|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; ONE ORANGE WAY; WINDSOR; CT; 6095; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/2011; 160; 160; SALE OF FIXED INSURANCE PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view Robert Alan Klein's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Alan Klein's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
January 9, 2001 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
WINDSOR, CT
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
June 28, 1986 - March 26, 1988
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
Past
January 15, 1986 - July 14, 1986
G. R. PHELPS & CO., INC.
BD
CRD#: 173
Past
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(9/9/2019)
RR
California(1/3/2011)
RR
Colorado(4/24/2023)
RR
Connecticut(1/3/2011)
IAR
Connecticut(1/3/2011)
RR
Florida(1/3/2011)
RR
Georgia(3/22/2019)
RR
Maine(4/1/2021)
RR
Maryland(1/3/2011)
RR
Massachusetts(1/3/2011)
RR
New Hampshire(6/6/2011)
RR
New Jersey(1/3/2011)
RR
New York(1/3/2011)
IAR
New York(10/12/2022)
RR
North Carolina(1/3/2011)
RR
Oregon(11/12/2012)
RR
Pennsylvania(9/9/2019)
RR
Rhode Island(1/3/2011)
RR
South Carolina(1/8/2016)
RR
Texas(7/13/2022)
IAR
Texas(7/14/2022)
RR
Vermont(1/3/2011)
RR
Virginia(4/30/2015)
RR
Washington(10/1/2015)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 2
Date: 9/29/1977
Non-Member General Securities ExaminationSRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
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.
