SK
Sarala Katta
VOYA FINANCIAL ADVISORS
Fairfax, VA 22030
Some features on this profile are disabled
CRD#: 2014191
SK
Professional summary
Sarala Katta, CFP®, ChFC®, who also goes by Sarala Katepalli, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Fairfax, Virginia.
Sarala is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Sarala has worked at 6 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Sarala Katepalli
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.
NAME OF ENTITY:Career and Technical Education/Academy of Finance and Business Management Academy; No; 10920 CLARKSVILLE PIKE; ELLICOTTCITY; MD; 21042; Education; Board Member; 5/1/2015; 6; 4; board members provide insight to the industry, participate in mock interviews, identify internships and assist with conferences.|
CRS (Client Relationship Summary) - RIA
Click below to view Sarala Katta's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Sarala Katta'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®
Experience
Current
December 17, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 11350 Random Hills Rd Suite 800, Fairfax, VA 22030RIA
BD
CRD#: 2882
Fairfax, VA
Current
December 1, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 11350 Random Hills Rd Suite 800, Fairfax, VA 22030RIA
BD
CRD#: 2882
Fairfax, VA
Past
March 8, 2010 - December 2, 2015
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ELKRIDGE, MD
Past
March 4, 2010 - December 2, 2015
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ELKRIDGE, MD
Past
November 2, 2009 - March 2, 2010
MMC SECURITIES LLC
RIA
CRD#: 103846
BALTIMORE, MD
Past
September 18, 2009 - March 2, 2010
MMC SECURITIES LLC
BD
CRD#: 103846
BALTIMORE, MD
Past
November 28, 2005 - August 24, 2009
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
COLUMBIA, MD
Past
November 28, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
COLUMBIA, MD
Past
November 28, 2005 - August 24, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
COLUMBIA, MD
Past
February 4, 2004 - December 31, 2005
CITISTREET FINANCIAL SERVICES LLC
RIA
CRD#: 107311
COLUMBIA, MD
Past
May 16, 1990 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, 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 FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.RR
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
RR
Alabama(6/19/2019)
RR
Arizona(1/11/2016)
RR
California(1/11/2016)
RR
Colorado(1/11/2016)
RR
Connecticut(6/13/2019)
RR
Delaware(12/1/2015)
IAR
Delaware(5/31/2019)
RR
District of Columbia(12/1/2015)
RR
Florida(1/11/2016)
RR
Georgia(6/12/2019)
RR
Idaho(5/1/2023)
RR
Illinois(1/11/2016)
RR
Indiana(1/7/2020)
RR
Iowa(1/3/2022)
RR
Kansas(1/11/2016)
RR
Kentucky(12/22/2020)
RR
Louisiana(2/16/2021)
RR
Maine(1/11/2016)
RR
Maryland(12/1/2015)
IAR
Maryland(11/22/2024)
RR
Massachusetts(1/11/2016)
RR
Michigan(1/11/2016)
RR
Minnesota(1/11/2016)
RR
Mississippi(8/12/2021)
RR
Missouri(1/7/2020)
RR
Montana(1/11/2016)
RR
Nevada(10/16/2020)
RR
New Hampshire(1/7/2020)
RR
New Jersey(1/11/2016)
RR
New Mexico(1/5/2021)
RR
New York(1/11/2016)
IAR
New York(10/12/2022)
RR
North Carolina(1/12/2016)
RR
Ohio(1/11/2016)
RR
Oklahoma(1/7/2020)
RR
Oregon(1/11/2016)
RR
Pennsylvania(12/1/2015)
RR
Puerto Rico(7/13/2022)
RR
Rhode Island(7/31/2023)
RR
South Carolina(1/11/2016)
RR
South Dakota(1/11/2016)
RR
Tennessee(1/7/2020)
RR
Texas(1/11/2016)
IAR
Texas(1/11/2016)
RR
Utah(1/11/2016)
RR
Vermont(1/7/2020)
RR
Virgin Islands(9/14/2022)
RR
Virginia(12/1/2015)
IAR
Virginia(12/17/2015)
RR
Washington(1/11/2016)
RR
West Virginia(1/11/2016)
RR
Wisconsin(1/11/2016)
RR
Wyoming(2/16/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
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.
