Wesley L. Handley

VOYA RETIREMENT ADVISORS

KLAMATH FALLS, OR

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CRD#: 2005772

Professional summary

Wesley Lee Handley, who also goes by Wes Handley, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Klamath Falls, Oregon and VOYA FINANCIAL ADVISORS, INC. located in Klamath Falls, Oregon.

Wesley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Wesley has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Wes Handley

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) - RIA

Click below to view Wesley Lee Handley'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

September 14, 2015 - Present

VOYA RETIREMENT ADVISORS, LLC

Office #2: One Orange Way, Windsor, CT 06095

RIA

CRD#: 3989

KLAMATH FALLS, OR

Current

September 29, 2016 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Klamath Falls, OR

Past

September 14, 2015 - September 29, 2016

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

WINDSOR, CT

Past

June 26, 2015 - September 14, 2015

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Klamath Falls, OR

Past

June 17, 2015 - September 14, 2015

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Klamath Falls, OR

Past

May 30, 2014 - June 5, 2015

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

KLAMATH FALLS, OR

Past

May 30, 2014 - June 5, 2015

EQUITABLE ADVISORS, LLC

CRD#: 6627

KLAMATH FALLS, OR

Past

September 26, 2011 - May 1, 2013

CUSO FINANCIAL SERVICES, L.P.

RIA

CRD#: 42132

KLAMATH FALLS, OR

Past

September 26, 2011 - May 1, 2013

CUSO FINANCIAL SERVICES, L.P.

CRD#: 42132

KLAMATH FALLS, OR

Past

January 1, 2010 - May 3, 2011

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

EUGENE, OR

Past

November 2, 2009 - May 3, 2011

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EUGENE, OR

Past

April 22, 2006 - November 6, 2009

UVEST FINANCIAL SERVICES GROUP, INC.

CRD#: 13787

CHARLOTTE, NC

Past

November 14, 2002 - May 7, 2004

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

June 18, 1999 - December 31, 2001

FINTEGRA, LLC

CRD#: 16741

MINNEAPOLIS, MN

Past

October 29, 1998 - April 16, 1999

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

November 30, 1995 - April 9, 1998

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

July 1, 1994 - February 23, 1995

A. G. EDWARDS & SONS, INC.

CRD#: 4

ST. LOUIS, MO

Past

April 20, 1993 - July 7, 1994

WAMU INVESTMENTS, INC.

CRD#: 599

IRVINE, CA

Past

July 22, 1991 - September 8, 1992

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

November 27, 1989 - July 24, 1990

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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

IAR

Oregon
(9/14/2015)

Oregon
(9/29/2016)

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 66

Date: 12/30/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/15/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1989

General Securities Representative Examination

Principal/Supervisory Exam

Series 51

Date: 4/9/2003

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 1/10/2001

General Securities 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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Firm Stability Insights

Wesley L. Handley

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Wesley Lee Handley's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

VOYA RETIREMENT ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CUSO FINANCIAL SERVICES, L.P.

CUSO FINANCIAL SERVICES, L.P.

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

UVEST FINANCIAL SERVICES GROUP, INC.

FISERV INVESTOR SERVICES, INC.

FINTEGRA, LLC

WAMU INVESTMENTS, INC.

CETERA INVESTMENT SERVICES LLC

A. G. EDWARDS & SONS, INC.

WAMU INVESTMENTS, INC.

MORGAN STANLEY DW INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/30/2009

Series 63

Date: 1/15/1990

SIE

Date: 10/1/2018

Series 7

Date: 11/18/1989

Series 51

Date: 4/9/2003

Series 24

Date: 1/10/2001

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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