Duane A. Monroe

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CRD#: 1201489

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.

Duane Alan Monroe, who also goes by Ike Monroe, was a registered financial professional .

Duane is a previously registered financial professional and started their career in finance in 1983. Duane had worked at 10 firms and has passed the Series 63 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ike Monroe

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

July 22, 2010 - December 31, 2012

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SIOUX CITY, IA

Past

April 16, 2003 - March 10, 2010

RMIN SECURITIES, INC.

CRD#: 47274

PHOENIX, AZ

Past

February 5, 2002 - April 30, 2003

OSAIC FS, INC.

CRD#: 3870

FORT WAYNE, IN

Past

October 20, 1999 - December 31, 2001

VERAVEST INVESTMENTS, INC.

CRD#: 3960

WORCESTER, MA

Past

November 24, 1998 - October 13, 1999

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Past

June 6, 1997 - October 9, 1998

HIMCO DISTRIBUTION SERVICES COMPANY

CRD#: 6604

HARTFORD, CT

Past

November 29, 1996 - May 9, 1997

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

February 16, 1989 - November 29, 1996

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

Past

December 23, 1988 - January 19, 1989

B.C. CHRISTOPHER SECURITIES CO.

CRD#: 60

Past

March 2, 1987 - December 23, 1988

MORISON SECURITIES, INC.

CRD#: 8097

Past

December 13, 1983 - November 29, 1996

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

ENGLEWOOD, CO

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.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/5/1987

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 12/12/1983

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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.

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Duane A. Monroe

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RMIN SECURITIES, INC.

OSAIC FS, INC.

VERAVEST INVESTMENTS, INC.

PRUCO SECURITIES, LLC.

HIMCO DISTRIBUTION SERVICES COMPANY

EMPOWER FINANCIAL SERVICES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

B.C. CHRISTOPHER SECURITIES CO.

MORISON SECURITIES, INC.

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/5/1987

Series 6

Date: 12/12/1983

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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