David E. Arden
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.
David Edward Arden, who also goes by David Eric Anderson, David Eric Anderson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1984. David had worked at 5 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
January 31, 2011 - December 31, 2020
VOYA FINANCIAL ADVISORS, INC.
December 17, 2010 - December 31, 2020
VOYA FINANCIAL ADVISORS, INC.
December 8, 2004 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
June 30, 2004 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
June 27, 1996 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
October 3, 1988 - November 7, 1995
VOYA FINANCIAL ADVISORS, INC.
April 23, 1987 - September 2, 1988
TRANSAMERICA SECURITIES SALES CORPORATION
April 23, 1987 - September 2, 1988
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 27, 1984 - April 26, 1985
PRUDENTIAL EQUITY GROUP, LLC
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
Series 7TO
Date: 12/17/2022
General Securities Representative ExaminationCurrent 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.
