Elaine E. Roberts
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.
Elaine Evadne Roberts was a registered financial professional .
Elaine is a previously registered financial professional and started their career in finance in 1989. Elaine had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
September 21, 2017 - December 31, 2023
VOYA FINANCIAL ADVISORS, INC.
June 6, 2011 - December 31, 2023
VOYA FINANCIAL ADVISORS, INC.
August 14, 2000 - June 3, 2011
LINCOLN INVESTMENT
November 17, 1999 - June 3, 2011
LINCOLN INVESTMENT
July 20, 1999 - November 19, 1999
CROWN CAPITAL SECURITIES, L.P.
March 31, 1999 - July 22, 1999
MUTUAL SERVICE CORPORATION
March 21, 1997 - March 31, 1999
TITAN/VALUE EQUITIES GROUP, INC.
March 8, 1996 - March 5, 1997
VOYA FINANCIAL ADVISORS, INC.
June 1, 1995 - January 24, 1996
TITAN/VALUE EQUITIES GROUP, INC.
April 4, 1991 - December 31, 1994
ARAGON FINANCIAL SERVICES, INC.
March 2, 1989 - December 18, 1990
THE VARIABLE ANNUITY MARKETING COMPANY
January 24, 1989 - April 6, 1989
LEHMAN BROTHERS INC.
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.
