Benjamin S. Alivio
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.
Benjamin Sedilla Alivio, who also goes by Benjamin Sedilla Alivio, Ben Alivio, Benjamin Alivio, was a registered financial professional .
Benjamin is a previously registered financial professional and started their career in finance in 1987. Benjamin had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 13, 2023 - May 20, 2025
VOYA FINANCIAL ADVISORS, INC.
February 13, 2023 - May 20, 2025
VOYA FINANCIAL ADVISORS, INC.
November 3, 2021 - December 6, 2022
EMPOWER ADVISORY GROUP, LLC
November 3, 2021 - December 6, 2022
EMPOWER FINANCIAL SERVICES, INC.
May 13, 2019 - October 21, 2021
TRANSAMERICA RETIREMENT ADVISORS, LLC
May 13, 2019 - October 21, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
January 4, 2018 - October 16, 2018
NEWPORT GROUP CONSULTING, LLC
March 20, 2017 - December 22, 2017
NEWPORT GROUP SECURITIES, INC.
March 20, 2017 - October 16, 2018
NEWPORT GROUP SECURITIES, INC.
March 13, 2012 - December 15, 2016
CHARLES SCHWAB & CO., INC.
March 13, 2012 - December 15, 2016
CHARLES SCHWAB & CO., INC.
March 5, 1997 - October 12, 1999
FIDELITY DISTRIBUTORS COMPANY LLC
July 19, 1990 - December 17, 1992
FIDELITY DISTRIBUTORS COMPANY LLC
December 20, 1988 - July 12, 1990
FIDELITY DISTRIBUTORS CORPORATION
May 11, 1987 - December 19, 1988
FIDELITY BROKERAGE SERVICES 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
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.
