DD
Douglas P. Dhom
VOYA INVESTMENT MANAGEMENT CO. LLC
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 1754725
DD
Professional summary
Douglas Paul Dhom, who also goes by Doug Dhom, Douglass Paul Dhom, Douglas Paul Dhom, is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Atlanta, Georgia and VOYA INVESTMENTS DISTRIBUTOR, LLC located in Atlanta, Georgia.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Douglas has worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Doug Dhom | Douglass Paul Dhom | Douglas Paul Dhom
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.
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Paul Dhom's 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®
NoneExperience
Current
December 7, 2022 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
Office #1: 5780 Powers Ferry Road, Atlanta, GA 30327RIA
CRD#: 106494
Atlanta, GA
Current
December 6, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 5780 Powers Ferry Road Nw, Atlanta, GA 30327BD
CRD#: 37886
Atlanta, GA
Past
June 19, 2018 - December 9, 2022
CHARLES SCHWAB & CO., INC.
RIA
CRD#: 5393
Atlanta, GA
Past
June 14, 2018 - December 9, 2022
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
Atlanta, GA
Past
August 5, 2015 - June 7, 2017
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
RIA
CRD#: 109591
JOHNS CREEK, GA
Past
July 1, 2015 - June 7, 2017
NYLIFE DISTRIBUTORS LLC
BD
CRD#: 35350
JERSEY CITY, NJ
Past
January 1, 2010 - June 12, 2015
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
May 19, 2006 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
RIA
CRD#: 109264
HOUSTON, TX
Past
January 17, 2006 - June 12, 2015
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
Past
July 15, 2005 - January 5, 2006
AT INVESTOR SERVICES, INC.
BD
CRD#: 47837
NEW YORK, NY
Past
January 1, 1999 - July 15, 2005
GPC SECURITIES, INC.
BD
CRD#: 14007
ATLANTA, GA
Past
December 13, 1989 - January 1, 1999
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 289
HOUSTON, TX
Past
May 19, 1988 - August 29, 1989
COLONIAL INVESTMENT SERVICES, INC.
BD
CRD#: 167
Past
December 22, 1987 - January 18, 1988
THE STUART-JAMES COMPANY, INCORPORATED
BD
CRD#: 11691
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)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
Alabama(12/6/2022)
RR
Alaska(12/6/2022)
IAR
Alaska(12/21/2022)
RR
Arizona(12/6/2022)
IAR
Arizona(12/16/2022)
RR
Arkansas(12/6/2022)
RR
California(12/6/2022)
RR
Colorado(12/6/2022)
RR
Connecticut(12/6/2022)
RR
Delaware(12/6/2022)
RR
District of Columbia(12/6/2022)
IAR
District of Columbia(3/6/2023)
RR
Florida(12/6/2022)
RR
Georgia(12/6/2022)
IAR
Georgia(12/8/2022)
RR
Hawaii(12/6/2022)
RR
Idaho(12/6/2022)
RR
Illinois(12/6/2022)
IAR
Illinois(12/12/2022)
RR
Indiana(12/6/2022)
IAR
Indiana(12/7/2022)
RR
Iowa(12/6/2022)
RR
Kansas(12/6/2022)
RR
Kentucky(12/6/2022)
IAR
Kentucky(12/12/2022)
RR
Louisiana(12/6/2022)
IAR
Louisiana(12/12/2022)
RR
Maine(12/6/2022)
IAR
Maine(12/7/2022)
RR
Maryland(12/6/2022)
RR
Massachusetts(12/6/2022)
RR
Michigan(12/6/2022)
RR
Minnesota(12/6/2022)
RR
Mississippi(12/6/2022)
RR
Missouri(12/6/2022)
RR
Montana(12/6/2022)
RR
Nebraska(12/6/2022)
RR
Nevada(12/6/2022)
RR
New Hampshire(12/6/2022)
RR
New Jersey(12/6/2022)
RR
New Mexico(12/6/2022)
IAR
New Mexico(12/9/2022)
RR
New York(12/6/2022)
RR
North Carolina(12/6/2022)
RR
North Dakota(12/6/2022)
IAR
North Dakota(12/13/2022)
RR
Ohio(12/6/2022)
RR
Oklahoma(12/6/2022)
IAR
Oklahoma(12/12/2022)
RR
Oregon(12/6/2022)
RR
Pennsylvania(12/6/2022)
RR
Puerto Rico(12/6/2022)
RR
Rhode Island(12/6/2022)
IAR
Rhode Island(12/13/2022)
RR
South Carolina(12/6/2022)
IAR
South Carolina(12/12/2022)
RR
South Dakota(12/6/2022)
RR
Tennessee(12/6/2022)
RR
Texas(12/6/2022)
IAR
Texas(12/8/2022)
RR
Utah(12/6/2022)
RR
Vermont(12/6/2022)
RR
Virgin Islands(12/6/2022)
RR
Virginia(12/6/2022)
IAR
Virginia(12/12/2022)
RR
Washington(12/6/2022)
RR
West Virginia(12/6/2022)
RR
Wisconsin(12/6/2022)
RR
Wyoming(12/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
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Contact information
Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2024 | ||
| 10/26/2023 | ||
| 10/28/2022 |
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.
