Lyn J. Flanagan
Professional summary
Lyn Jeanne Flanagan was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Lyn is a previously registered financial professional and started their career in finance in 1990. Prior to being barred, Lyn had worked at 13 firms, which includes VOYA FINANCIAL ADVISORS INC., COMMONWEALTH FINANCIAL NETWORK, CONTINENTAL CAPITAL INVESTMENT SERVICES INC., RAYMOND JAMES FINANCIAL SERVICES INC., ASSOCIATED SECURITIES CORP., CALIFORNIA ONE INVESTMENTS, TORREY PINES SECURITIES INC., CENTEX SECURITIES INCORPORATED, CITIGROUP GLOBAL MARKETS INC., UBS FINANCIAL SERVICES INC., IAF SECURITIES INC., LEHMAN BROTHERS INC., THE STUART-JAMES COMPANY INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 17, 2004 - April 18, 2005
VOYA FINANCIAL ADVISORS, INC.
August 30, 1999 - December 31, 2003
COMMONWEALTH FINANCIAL NETWORK
November 5, 1997 - July 29, 1999
CONTINENTAL CAPITAL INVESTMENT SERVICES, INC.
August 24, 1995 - July 9, 1997
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 12, 1994 - June 20, 1995
ASSOCIATED SECURITIES CORP.
April 15, 1993 - June 28, 1994
CALIFORNIA ONE INVESTMENTS
February 24, 1993 - March 9, 1993
TORREY PINES SECURITIES, INC.
January 13, 1993 - January 28, 1993
CENTEX SECURITIES, INCORPORATED
April 20, 1992 - November 3, 1992
CITIGROUP GLOBAL MARKETS INC.
October 30, 1991 - April 16, 1992
UBS FINANCIAL SERVICES INC.
November 13, 1990 - March 8, 1991
IAF SECURITIES, INC.
June 14, 1990 - November 13, 1990
LEHMAN BROTHERS INC.
January 23, 1990 - March 31, 1990
THE STUART-JAMES COMPANY, INCORPORATED
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
Exams
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
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