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SG

Susan B. Gough

VOYA INVESTMENTS DISTRIBUTOR
Scottsdale, AZ 85258
Some features on this profile are disabled
CRD#: 1510386
SG

Professional summary

Susan Benita Gough, who also goes by Susan Benita Holland, Susan B Holland, Susan B Holland-gough, Susan B Munoz, Susan Benita Munoz, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Scottsdale, Arizona.

Susan is registered as a RR (Registered Representative) and started their career in finance in 1987. Susan has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Susan Benita Holland | Susan B Holland | Susan B Holland-Gough | Susan B Munoz | Susan Benita Munoz

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) - BD

Click below to view Susan Benita Gough's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

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

Current

March 23, 2015 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 7337 E. Doubletree Ranch Road Suite 100, Scottsdale, AZ 85258
BD
CRD#: 37886
Scottsdale, AZ
Past

September 22, 2011 - November 4, 2014

NEW ENGLAND SECURITIES

BD
CRD#: 615
PHOENIX, AZ
Past

March 4, 1992 - March 30, 2011

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

May 1, 1990 - February 28, 1992

RAUSCHER PIERCE REFSNES, INC.

BD
CRD#: 6663
DALLAS, TX
Past

September 24, 1987 - May 22, 1990

ANCHOR NATIONAL FINANCIAL SERVICES, INC.

BD
CRD#: 5774

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Alabama
(1/13/2022)
RR
Alaska
(1/13/2022)
RR
Arizona
(4/10/2015)
RR
Arkansas
(1/13/2022)
RR
California
(1/13/2022)
RR
Colorado
(1/13/2022)
RR
Connecticut
(1/13/2022)
RR
Delaware
(1/13/2022)
RR
District of Columbia
(1/13/2022)
RR
Florida
(1/13/2022)
RR
Georgia
(1/13/2022)
RR
Hawaii
(1/13/2022)
RR
Idaho
(1/13/2022)
RR
Illinois
(1/13/2022)
RR
Indiana
(1/13/2022)
RR
Iowa
(1/13/2022)
RR
Kansas
(1/13/2022)
RR
Kentucky
(1/13/2022)
RR
Louisiana
(1/13/2022)
RR
Maine
(1/13/2022)
RR
Maryland
(1/13/2022)
RR
Massachusetts
(1/13/2022)
RR
Michigan
(1/13/2022)
RR
Minnesota
(1/13/2022)
RR
Mississippi
(1/13/2022)
RR
Missouri
(1/13/2022)
RR
Montana
(1/13/2022)
RR
Nebraska
(1/13/2022)
RR
Nevada
(1/13/2022)
RR
New Hampshire
(1/13/2022)
RR
New Jersey
(1/13/2022)
RR
New Mexico
(1/13/2022)
RR
New York
(1/13/2022)
RR
North Carolina
(1/13/2022)
RR
North Dakota
(1/13/2022)
RR
Ohio
(1/14/2022)
RR
Oklahoma
(1/13/2022)
RR
Oregon
(1/13/2022)
RR
Pennsylvania
(1/13/2022)
RR
Puerto Rico
(1/13/2022)
RR
Rhode Island
(1/13/2022)
RR
South Carolina
(1/13/2022)
RR
South Dakota
(1/13/2022)
RR
Tennessee
(1/13/2022)
RR
Texas
(1/13/2022)
RR
Utah
(1/13/2022)
RR
Vermont
(1/13/2022)
RR
Virgin Islands
(1/13/2022)
RR
Virginia
(1/13/2022)
RR
Washington
(1/13/2022)
RR
West Virginia
(1/13/2022)
RR
Wisconsin
(1/13/2022)
RR
Wyoming
(1/13/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 8/18/1987
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/19/1987
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/15/1989
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
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
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886Scottsdale, AZ 85258

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