Maureen F. Polana

Some features on this profile are disabled

CRD#: 1319586

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.

Maureen Flavell Polana, who also goes by Maureen Leslie Flavell, Mo Flavell, Maureen F Polana, Maureen Leslie Polana, was a registered financial professional .

Maureen is a previously registered financial professional and started their career in finance in 1984. Maureen had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 22, Series 6, Series 26 and Series 39 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Maureen Leslie Flavell | Mo Flavell | Maureen F Polana | Maureen Leslie Polana

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

May 22, 2012 - August 30, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

August 4, 1998 - April 11, 2023

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

July 22, 1997 - July 20, 1998

MML DISTRIBUTORS, LLC

CRD#: 38030

SPRINGFIELD, MA

Past

March 1, 1996 - July 24, 1997

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

November 28, 1984 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

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: 12/4/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/30/2000

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 8/12/1985

Direct Participation Programs Representative Examination

General Industry/Product Exam

Series 6

Date: 11/26/1984

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 2/3/1999

Investment Company Products/Variable Contracts Principal Examination

Principal/Supervisory Exam

Series 39

Date: 12/18/1989

Direct Participation Programs Principal 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)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Maureen F. Polana

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

MML DISTRIBUTORS, LLC

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/4/1991

SIE

Date: 10/1/2018

Series 7

Date: 10/30/2000

Series 22

Date: 8/12/1985

Series 6

Date: 11/26/1984

Series 26

Date: 2/3/1999

Series 39

Date: 12/18/1989

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

Similar Advisors