Steven M. Moretta
Professional summary
Steven Maynard Moretta SR, who also goes by Steven M Moretta Sr, Steven Maynard Moretta, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Steven has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Steven Maynard Moretta SR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Steven Maynard Moretta SR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095March 12, 2004 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
December 14, 1999 - September 25, 2000
AETNA FINANCIAL SERVICES, INC.
September 27, 1999 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
July 26, 1999 - September 15, 1999
EDWARD JONES
March 4, 1997 - June 17, 1999
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
October 4, 1996 - March 5, 1997
HIMCO DISTRIBUTION SERVICES COMPANY
October 15, 1993 - September 23, 1996
VOYA FINANCIAL PARTNERS, LLC
May 29, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
May 1, 1990 - April 14, 1992
VERAVEST INVESTMENTS, 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
(6/15/2023)
(8/17/2020)
(9/6/2023)
(1/3/2011)
(1/3/2011)
(3/3/2020)
(11/20/2017)
(8/8/2025)
(3/17/2021)
(1/3/2011)
(9/6/2023)
(2/14/2020)
(1/3/2011)
(10/12/2022)
(12/15/2021)
(1/8/2016)
(6/7/2019)
(12/8/2023)
(9/6/2023)
Exams
FINRA
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.
