PS
Paul J. Sprague
VOYA FINANCIAL ADVISORS
OCEANSIDE, CA 92054
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CRD#: 2034380
PS
Professional summary
Paul Joseph Sprague is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Oceanside, California.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Paul has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 2171 EL CAMINO REAL STE 202; OCEANSIDE; CA; 92054; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/17/2015; 2; 2; SALE OF FIXED INSURANCE PRODUCTS| CHRIS MULLOY ANTIQUES & ESTATE JEWELRY POSITION: Assistant NATURE: My domestic partner owns an antique and estate jewelry business. I assist him with shows around the country throughout the year. I also assist with a store location in Palm Springs. INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 10 START DATE: 05/15/2024 ADDRESS: 38275 Via Lusso, Palm Springs CA 92264, United States DESCRIPTION: Assist with setting up show booths. Assist with sales of antiques and estate jewelry.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Joseph Sprague's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Joseph Sprague'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®
NoneExperience
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 2171 El Camino Real Ste 202, Oceanside, CA 92054RIA
BD
CRD#: 2882
OCEANSIDE, CA
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 2171 El Camino Real Ste 202, Oceanside, CA 92054RIA
BD
CRD#: 2882
OCEANSIDE, CA
Past
April 27, 2004 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
OCEANSIDE, CA
Past
September 13, 2000 - September 29, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
September 13, 2000 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
OCEANSIDE, CA
Past
May 24, 1996 - March 4, 1999
PUBLIC EMPLOYEES EQUITIES SERVICES COMPANY
BD
CRD#: 7315
PALM BEACH GARDENS, FL
Past
May 13, 1991 - June 28, 1999
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
May 13, 1991 - June 28, 1999
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
March 21, 1990 - March 13, 1991
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, 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 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
Arizona(7/22/2025)
RR
California(1/3/2011)
IAR
California(1/3/2011)
RR
Michigan(7/16/2025)
RR
Nevada(7/15/2025)
IAR
New York(7/15/2025)
RR
New York(7/22/2025)
RR
Texas(7/15/2025)
IAR
Texas(7/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
