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Phyllis R. Miller

Some features on this profile are disabled
CRD#: 1965824
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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.

Phyllis Rivard Miller, CFP® was a registered financial professional .

Phyllis is a previously registered financial professional and started their career in finance in 1990. Phyllis had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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.
The advisor shows no other business activity.

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®
CFP®

Certified Financial Planner

Experience

Past

July 19, 2023 - November 24, 2025

VOYA RETIREMENT ADVISORS, LLC

RIA
CRD#: 3989
WINDSOR, CT
Past

March 17, 2021 - July 19, 2023

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
ELLINGTON, CT
Past

March 16, 2021 - November 24, 2025

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

March 27, 2018 - March 17, 2021

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
Windsor, CT
Past

March 27, 2018 - March 17, 2021

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
Windsor, CT
Past

December 6, 2004 - March 29, 2018

VOYA FINANCIAL PARTNERS, LLC

RIA
CRD#: 34815
WINDSOR, CT
Past

April 17, 2002 - March 29, 2018

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

January 12, 1999 - June 16, 2000

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

May 29, 1997 - June 16, 2000

AETNA FINANCIAL SERVICES, INC.

BD
CRD#: 13255
HARTFORD, CT
Past

December 12, 1995 - May 20, 1997

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
Past

October 19, 1990 - December 19, 1994

TOWER SQUARE SECURITIES, INC.

BD
CRD#: 833
EL SEGUNDO, CA

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
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES

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

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/2/1999
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/18/1990
General Securities Representative Examination

Current Firm

VOYA RETIREMENT ADVISORS, LLC
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES

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

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

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

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

Direct owners and executive officers

NamePositionCRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLCSOLE MEMBER OF APPLICANT
GORDON, REGINA AVERYCHIEF COMPLIANCE OFFICER3173644
HULTGREN, KRISTIN HENDERSONCFO / FINOP5506534
NICHOLS, JAMES LUTHER IVMANAGING DIRECTOR5237805

Regulatory assets under management

Total Number of Accounts13,160
AUM (Assets Under Management)$ 30,885,140,490

Disclosures

Regulatory Event1

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
01/15/2026
Cover Page
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.

Company Information

VOYA RETIREMENT ADVISORS, LLC

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

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