Donald R. Schrock
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Donald Ray Schrock, who also goes by Don Schrock, was a registered financial professional .
Donald is a previously registered financial professional and started their career in finance in 1991. Donald had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2004 - January 3, 2020
VOYA FINANCIAL ADVISORS, INC.
July 20, 2004 - January 3, 2020
VOYA FINANCIAL ADVISORS, INC.
May 17, 1999 - May 25, 2004
MORGAN STANLEY DW INC.
January 25, 1999 - May 25, 2004
MORGAN STANLEY DW INC.
October 17, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
October 17, 1991 - January 19, 1999
PRUCO SECURITIES, LLC.
June 13, 1991 - July 25, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH 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
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.
