Henry J. Fromm
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.
Henry John Fromm III, who also goes by Henry John Fromm, John Fromm, was a registered financial professional .
Henry is a previously registered financial professional and started their career in finance in 1985. Henry had worked at 11 firms and has passed the Series 63, 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 3, 2011 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
April 30, 2002 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
August 29, 2001 - November 30, 2001
SECURITIES AMERICA, INC.
July 5, 2001 - August 28, 2001
CETERA WEALTH SERVICES, LLC
July 6, 2000 - July 2, 2001
SECURITIES AMERICA, INC.
February 1, 2000 - July 31, 2000
CETERA WEALTH SERVICES, LLC
January 21, 1993 - December 23, 1999
CITISTREET EQUITIES LLC
July 14, 1992 - January 22, 1993
METLIFE INVESTORS DISTRIBUTION COMPANY
July 13, 1990 - January 6, 1992
BANC ONE SECURITIES CORPORATION
June 12, 1989 - July 13, 1990
BANC ONE WISCONSIN INVESTMENT SERVICES CORPORATION
October 13, 1986 - February 21, 1989
INVEST FINANCIAL CORPORATION
January 23, 1986 - September 25, 1986
THE MILWAUKEE COMPANY
August 21, 1985 - January 9, 1986
ROBERT W. BAIRD & CO. INCORPORATED
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
Current 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.
