Emanuel L. Sarris

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CRD#: 1363059

Professional summary

Emanuel Louis Sarris SR was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Emanuel is a previously registered financial advisor and started their career in finance in 1987. Prior to being barred, Emanuel had worked at 8 firms, which includes VOYA FINANCIAL ADVISORS INC., SECURITIES AMERICA INC., MUTUAL SERVICE CORPORATION, OSAIC WEALTH INC., SARRIS FINANCIAL GROUP INC, FIRST OF PHILADELPHIA INVESTMENT GROUP INC., INTEGRATED RESOURCES EQUITY CORPORATION, THE GREAT-WEST LIFE ASSURANCE COMPANY.

Question & Answer

Are you a "fiduciary"?

Aliases

Emanuel L Sarris Sr | Emanuel L Sarris | Manny Sarris

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

January 6, 2000 - September 13, 2001

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

January 17, 1994 - April 6, 2000

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

January 3, 1994 - January 24, 1994

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

April 17, 1993 - December 31, 1993

MUTUAL SERVICE CORPORATION

CRD#: 4806

BOSTON, MA

Past

February 7, 1992 - January 1, 1994

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 19, 1991 - November 2, 2015

SARRIS FINANCIAL GROUP INC

RIA

CRD#: 123865

JUPITER, FL

Past

April 25, 1990 - February 11, 1992

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

CRD#: 16201

Past

November 19, 1989 - April 27, 1990

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

April 25, 1989 - November 19, 1989

INTEGRATED RESOURCES EQUITY CORPORATION

CRD#: 6403

Past

August 25, 1987 - April 25, 1989

THE GREAT-WEST LIFE ASSURANCE COMPANY

CRD#: 5927

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: 2/22/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 8/24/1987

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

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Emanuel L. Sarris

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

SECURITIES AMERICA, INC.

MUTUAL SERVICE CORPORATION

MUTUAL SERVICE CORPORATION

OSAIC WEALTH, INC.

SARRIS FINANCIAL GROUP INC

FIRST OF PHILADELPHIA INVESTMENT GROUP, INC.

OSAIC WEALTH, INC.

INTEGRATED RESOURCES EQUITY CORPORATION

THE GREAT-WEST LIFE ASSURANCE COMPANY

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/22/1988

Series 6

Date: 8/24/1987

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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