John W. Worley

VOYA RETIREMENT ADVISORS

Edmond, OK

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CRD#: 1939429

Professional summary

John W. Worley, who also goes by John Wayne Worley, John Worley, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Edmond, Oklahoma and VOYA FINANCIAL PARTNERS, LLC located in Braintree, Massachusetts.

John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. John has worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

John Wayne Worley | John Worley

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.

INSURANCE LICENSED; INVESTMENT RELATED; ALLENTOWN, PA; START: 1983; 1 HR/MO DURING TRADING;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John W. Worley'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®

None

Experience

Current

June 12, 2023 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Edmond, OK

Current

June 9, 2023 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: 30 Braintree Hill Office Park, Braintree, MA 02184

CRD#: 34815

Braintree, MA

Past

June 12, 2023 - July 19, 2023

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

Edmond, OK

Past

March 29, 2023 - April 11, 2023

A BETTER WAY FINANCIAL, LLC

RIA

CRD#: 304914

ALLENTOWN, PA

Past

January 12, 2022 - March 8, 2023

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Macungie, PA

Past

December 16, 2021 - March 8, 2023

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Macungie, PA

Past

May 7, 2021 - November 9, 2021

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

Oklahoma City, OK

Past

May 7, 2021 - November 9, 2021

PRUCO SECURITIES, LLC.

CRD#: 5685

Oklahoma City, OK

Past

October 30, 2019 - May 5, 2021

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

OKLAHOMA CITY, OK

Past

October 22, 2019 - May 5, 2021

MML INVESTORS SERVICES, LLC

CRD#: 10409

OKLAHOMA CITY, OK

Past

July 30, 2018 - September 17, 2019

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

OKLAHOMA CITY, OK

Past

August 7, 2017 - September 17, 2019

PRUCO SECURITIES, LLC.

CRD#: 5685

OKLAHOMA CITY, OK

Past

September 20, 2013 - August 17, 2017

HORACE MANN INVESTORS, INC.

CRD#: 11643

SPRINGFIELD, IL

Past

March 13, 2012 - August 6, 2013

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

RESTON, VA

Past

January 19, 2000 - February 27, 2002

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

Past

January 19, 2000 - February 27, 2002

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

September 18, 1998 - September 20, 1999

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

November 18, 1996 - September 18, 1998

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

November 18, 1996 - September 18, 1998

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

September 16, 1996 - October 29, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

Past

April 18, 1989 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

April 18, 1989 - October 29, 1996

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

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 RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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.

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

Oklahoma
(2/21/2024)

IAR

Oklahoma
(2/21/2024)

Pennsylvania
(6/12/2023)

IAR

Pennsylvania
(6/12/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 4/9/2018

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/19/2012

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 3/12/2012

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/15/2012

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

Phone number

(860) 580-2817

Established

New Jersey since 02/01/2000

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

116

SEC notice filing (52 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	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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Advisor Monitoring

Firm Stability Insights

John W. Worley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view John W. Worley's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

A BETTER WAY FINANCIAL, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

HORACE MANN INVESTORS, INC.

FARMERS FINANCIAL SOLUTIONS, LLC

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

NYLIFE SECURITIES LLC

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

PRUCO SECURITIES, LLC.

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 4/9/2018

Series 63

Date: 4/19/2012

SIE

Date: 10/1/2018

Series 6

Date: 3/12/2012

Series 26

Date: 5/15/2012

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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