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Mark L. Soderquist

VOYA FINANCIAL ADVISORS
AUSTIN, TX 78731
CRD#: 1642851
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MS
Mark L SoderquistVOYA FINANCIAL ADVISORS

Professional summary

Mark L Soderquist, who also goes by Mark Soderquist, Mark Lloyd Soderquist, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Austin, Texas.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1988. Mark has worked at 7 firms and has passed the Series 66, Series 63, Series 7TO, SIE, Series 3, Series 44 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Mark Soderquist | Mark Lloyd Soderquist

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) - RIA

Click below to view Mark L Soderquist's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Mark L Soderquist'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

June 2, 2026 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 7000 North Mopac Expressway Suite 240, Austin, TX 78731
RIA
BD
CRD#: 2882
AUSTIN, TX
Current

June 2, 2026 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 7000 North Mopac Expressway Suite 240, Austin, TX 78731
RIA
BD
CRD#: 2882
AUSTIN, TX
Past

February 10, 2025 - June 25, 2026

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
AUSTIN, TX
Past

February 8, 2025 - June 25, 2026

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
AUSTIN, TX
Past

January 6, 2021 - April 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
AUSTIN, TX
Past

November 24, 2020 - April 26, 2024

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
AUSTIN, TX
Past

August 7, 2009 - January 21, 2010

FOX RIVER SECURITIES, LLC

BD
CRD#: 147527
CHICAGO, IL
Past

February 11, 1994 - March 25, 1999

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
NEW YORK, NY
Past

April 5, 1989 - March 30, 1993

LEGG MASON WOOD WALKER, INCORPORATED

BD
CRD#: 6555
BALTIMORE, MD
Past

March 22, 1988 - April 6, 1989

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059

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.
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)
BD
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.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
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
Texas
(6/2/2026)
IAR
Texas
(6/2/2026)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/30/2020
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/5/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 11/24/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/23/2020
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 6/17/2016
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 44
Date: 8/6/2009
PCX Market Maker Exam
General Industry/Product Exam
RR
Series 7
Date: 3/19/1988
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)
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
+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

NamePositionCRD#
VOYA HOLDINGS INC.100% SHAREHOLDER
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
DEPRATTI, JOHN JVP, OPERATIONS PRINCIPAL2927917
PAASCH, STEPHAN ANTHONYCHIEF COMPLIANCE OFFICER2968516
REILLY, JONATHAN FRANCISPRESIDENT2039032

Regulatory assets under management

Total Number of Accounts11,854
AUM (Assets Under Management)$ 2,744,735,129

Disclosures

Regulatory Event36
Arbitration9

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 FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882Austin, TX 78731

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