FB
Frank E. Booth
VOYA FINANCIAL ADVISORS
Newburgh, NY 12550
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CRD#: 1885530
FB
Professional summary
Frank Edward Booth JR, who also goes by Frank Edward Booth, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Newburgh, New York.
Frank is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Frank has worked at 6 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Frank Edward Booth
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 52 NORTH PLANK RD STE 1; PATERSON; NJ; 7514; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 2/2/2015; 160; 160; SALE OF FIXED INSURANCE PRODUCTS. NAME OF ENTITY:Capitol Realty; No; 114 Bloomfield Avenue; Hartford; CT; 06105; Real Estate; Salesperson; 10/1/2020; 20; 0; List and sell/Lease residential and commercial real estate. Represent buyers and sellers in real estate transactions.Respond to customer inquiries, refer customers to the real estate broker.| BERKSHIRE HATHAWAY HOMESERVICES POSITION: Salesperson NATURE: Real Estate INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/17/2023 ADDRESS: 970 Farmington Avenue, West hartford CT 06107, United States DESCRIPTION: List and sell/Lease residential and commercial real estate. Represent buyers and sellers in real estate transactions.Respond to customer inquiries, refer customers to the real estate broker.
CRS (Client Relationship Summary) - RIA
Click below to view Frank Edward Booth JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frank Edward Booth JR'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
February 19, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 52 North Plank Rd Suite 3, Newburgh, NY 12550RIA
BD
CRD#: 2882
Newburgh, NY
Current
February 2, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 52 North Plank Rd Suite 3, Newburgh, NY 12550RIA
BD
CRD#: 2882
Newburgh, NY
Past
June 15, 2009 - February 5, 2015
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
BEDMINSTER, NJ
Past
June 2, 2009 - February 5, 2015
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
BEDMINSTER, NJ
Past
April 5, 2006 - May 13, 2009
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
April 1, 2006 - April 11, 2006
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 107622
NEW YORK CITY, NY
Past
February 1, 2000 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
EL SEGUNDO, CA
Past
June 29, 1998 - January 14, 2000
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
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.
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
California(10/28/2021)
RR
Colorado(1/7/2020)
RR
Connecticut(2/2/2015)
IAR
Connecticut(5/30/2018)
RR
Delaware(7/14/2025)
RR
Florida(10/4/2018)
RR
Kansas(7/14/2025)
RR
Maryland(5/11/2023)
RR
New Jersey(2/2/2015)
IAR
New Jersey(2/19/2015)
RR
New York(2/2/2015)
IAR
New York(5/13/2021)
RR
North Carolina(1/8/2021)
RR
Pennsylvania(7/14/2025)
RR
Rhode Island(7/14/2025)
RR
South Carolina(7/14/2025)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
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
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Newburgh, NY 12550TRUST BUT VERIFY
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