Floyd M. Levy

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CRD#: 1848418

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.

Floyd Michael Levy, CPWA® was a registered financial professional .

Floyd is a previously registered financial professional and started their career in finance in 1988. Floyd had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 31, Series 7, Series 10, Series 9 and Series 8 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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.

1)FLOYD LEVY - MUSICIAN / NON INVESTMENT-RELATED / BABYLON, NY / MUSICAL ENTERTAINMENT / EMPLOYEE / START DATE - MARCH 2012 / 4 HOURS/MONTH DEVOTED TO THE OTHER BUSINESS, 0 HOURS/MONTH DEVOTED DURING SECURITIES TRADING HOURS 2)MIKE GREENE GREAT GUY FOUNDATION/NON-INVESTMENT RELATED/BABYLON, NY/BOARD MEMBER/NON-PROFIT ORGANIZATION/START DATE: JULY 31,2018/1 HOUR PER MONTH DEVOTED TO THIS OTHER BUSINESS/0 HOURS DURING SECURITIES TRADING HOURS 3.) Long Key Townhouse Condominiums; Not investment related; 65700 Overseas Highway Long Key, FL 33001; HOA Board of Directors; 02/01/2024 ; 1 hour per month; 0 hours per month during trading hours; Activity includes helping organize basic services such as landscaping, pool maintenance, etc. 4.) Long Key Townhouse Condominiums (Rental); Not investment related; 65700 Overseas Highway Long Key, FL 33001; Landlord; start date 06/01/2024 through 07/31/2024); <1 hour per month; 0 hours per month during trading hours; Rental Property.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

CPWA^®

Certified Private Wealth Advisor

Start date: 2012-06-20

Expire date: 2024-05-31

Experience

Past

April 14, 2008 - January 22, 2025

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

Long Key, FL

Past

March 26, 2008 - January 22, 2025

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

WINDSOR, CT

Past

April 2, 2007 - March 26, 2008

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

FAIRFIELD, NJ

Past

April 2, 2007 - March 26, 2008

MORGAN STANLEY & CO. LLC

CRD#: 8209

FAIRFIELD, NJ

Past

November 17, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

RIVERHEAD, NY

Past

January 30, 1998 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

RIVERHEAD, NY

Past

March 13, 1995 - January 16, 1998

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

March 6, 1990 - March 10, 1995

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

February 5, 1990 - March 31, 1990

VANDERBILT SECURITIES, INC.

CRD#: 14280

Past

June 21, 1988 - February 14, 1990

J. T. MORAN & CO., INC.

CRD#: 15655

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 INVESTMENT MANAGEMENT CO. 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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/6/2002

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/19/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 1/27/2006

National Commodity Futures Examination

General Industry/Product Exam

Series 31

Date: 2/12/2001

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/18/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 8

Date: 8/19/1998

General Securities Sales Supervisor Examination (Options Module & General Module)

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

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
12/05/2025	Cover Page	Report
11/26/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Floyd M. Levy

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA INVESTMENTS DISTRIBUTOR, LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

A. G. EDWARDS & SONS, INC.

MORGAN STANLEY DW INC.

VANDERBILT SECURITIES, INC.

J. T. MORAN & CO., INC.

Primary Firm SEC Registration

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 11/6/2002

Series 63

Date: 7/19/1988

SIE

Date: 10/1/2018

Series 3

Date: 1/27/2006

Series 31

Date: 2/12/2001

Series 7

Date: 6/18/1988

Series 10

Date: 1/2/2023

Series 9

Date: 1/2/2023

Series 8

Date: 8/19/1998

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

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