LC
Lewis D. Custode
VOYA FINANCIAL ADVISORS
Williamsville, NY 14221
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CRD#: 2129957
LC
Professional summary
Lewis David Custode JR, ChFC®, CLU® is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Williamsville, New York.
Lewis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Lewis has worked at 4 firms and has passed the Series 65, 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; 762 PLETCHER RD; LEWISTON; NY; 14092; FIXED INSURANCE; INDEPENDENT INSURANCE AGENT; 3/17/2015; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:CustodeMusic; No; 762 Pletcher Road; Lewiston; NY; 14092; Music business agent; owner; 7/23/2012; 40; 40; handle business related matters for artist under contract and/or overseeing recording, production, distribution, promotion and publishing of music works|NAME OF ENTITY:LEWIS CUSTODE-BROADCASTER; No; 762 Pletcher Rd.; Lewiston; NY; 14092; INDEPENDENT RADIO BROADCASTING; OWNER/BROADCAST; 5/15/2013; 6; 0; HOST AND BROADCAST RADIO PROGRAM.|NAME OF ENTITY:PROFESSIONAL MUSICIAN; No; 762 Pletcher Road; Lewiston; NY; 14092; MUSICIAN; SOLE PROPRIETOR; 1/1/1984; 40; 4; PROFESSIONAL MUSICIAN PERFORMANCE|NAME OF ENTITY:VRIAC; No; One Orange Way; Windsor; CT; 06095; Sale and Service of Voya HRA product. Health Reimbursement Arrangement (�??HRA�?) �??accident or health plan�? (�??Plan�?), reimburses qualified medical expenses, unused may carry over. Not a Security Offering.; N/A; 9/30/2022; 10; 10; Sale and Service of Voya HRA product.|
CRS (Client Relationship Summary) - RIA
Click below to view Lewis David Custode JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lewis David Custode JR'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
June 8, 2017 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6225 Sheridan Drive Suite 212, Williamsville, NY 14221RIA
BD
CRD#: 2882
Williamsville, NY
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6225 Sheridan Drive Suite 212, Williamsville, NY 14221RIA
BD
CRD#: 2882
Williamsville, NY
Past
July 18, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WILLIAMSVILLE, NY
Past
November 9, 1999 - July 5, 2005
21ST CENTURY FINANCIAL SERVICES, INC.
BD
CRD#: 42750
EAST MEADOW, NY
Past
June 12, 1991 - November 8, 1999
AMERICAN GENERAL EQUITY SERVICES CORPORATION
BD
CRD#: 5435
HOUSTON, TX
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(6/7/2017)
RR
Alaska(1/2/2025)
RR
Arizona(2/6/2012)
RR
Arkansas(10/18/2017)
RR
California(1/3/2011)
RR
Colorado(3/18/2013)
RR
Connecticut(1/3/2011)
RR
Delaware(10/19/2011)
RR
District of Columbia(4/14/2015)
RR
Florida(1/3/2011)
RR
Georgia(1/3/2011)
RR
Idaho(9/11/2018)
RR
Illinois(4/28/2011)
RR
Indiana(6/7/2017)
RR
Iowa(3/1/2021)
RR
Kansas(12/5/2018)
RR
Kentucky(10/19/2011)
RR
Louisiana(11/1/2018)
RR
Maine(5/12/2015)
RR
Maryland(1/27/2014)
RR
Massachusetts(1/3/2011)
RR
Michigan(1/3/2011)
RR
Minnesota(5/3/2011)
RR
Mississippi(1/15/2020)
RR
Missouri(1/13/2021)
RR
Montana(8/24/2017)
RR
Nebraska(2/24/2017)
RR
Nevada(9/30/2011)
RR
New Hampshire(5/12/2015)
RR
New Jersey(1/3/2011)
IAR
New Jersey(6/8/2017)
RR
New Mexico(3/22/2013)
RR
New York(1/3/2011)
IAR
New York(5/13/2021)
RR
North Carolina(8/29/2013)
RR
Ohio(2/25/2015)
RR
Oklahoma(11/24/2020)
RR
Oregon(6/7/2017)
RR
Pennsylvania(1/3/2011)
RR
Puerto Rico(1/2/2024)
RR
Rhode Island(6/10/2020)
RR
South Carolina(5/10/2013)
RR
Tennessee(6/10/2015)
RR
Texas(1/3/2011)
IAR
Texas(4/29/2020)
RR
Utah(9/28/2021)
RR
Vermont(4/15/2015)
RR
Virginia(12/6/2011)
RR
Washington(1/3/2011)
RR
West Virginia(6/7/2017)
RR
Wisconsin(6/10/2015)
RR
Wyoming(1/13/2022)
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Williamsville, NY 14221TRUST BUT VERIFY
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Contact information
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