Halvard Kvaale

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CRD#: 2148242

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.

Halvard Kvaale, who also goes by Halvard Kvale, was a registered financial professional .

Halvard is a previously registered financial professional and started their career in finance in 1993. Halvard had worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Halvard Kvale

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.

1)SUB-ADVISORY INSTITUTE ADVISORY BOARD/1120 AVENUE OF THE AMERICAS,6TH FL., NY,NY 10036/NON-INVESTMENT RELATED/ADVISORY BOARD MEMBER/ORGANIZING INDUSTRY CONFERECES/APPROXIMATELY 1 HR PER MONTH DEVOTED TO THIS OTHER BUSINESS/0 HOURS DURING SECURITY TRADING HOURS 2)INVESTMENTS AND WEALTH INSTITUTE OF NEW YORK/5619 DTC PARKWAY,SUITE 500, GREENWOOD VILLAGE, CO 80111/NON-INVESTMENT RELATED/EDUCATIONAL AND NETWORKING ASSOCIATION/MEMBER/APPROXIMATELY 1 HR PER MONTH DEVOTED TO THIS OTHER BUSINESS/0 HOURS DURING SECURITY TRADING HOURS 3)Advisory Board Member of T. Davidow Consulting,LLC/LOCATED AT: tdavidow consulting.com/board/NON-INVESTMENT RELATED/APPROXIMATELY 1 HR PER MONTH DEVOTED TO THIS OTHER BUSINESS/0 HOURS DURING SECURITY TRADING HOURS

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 17, 2012 - June 1, 2022

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

NEW YORK, NY

Past

September 17, 2012 - June 1, 2022

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

NEW YORK, NY

Past

June 1, 2009 - September 11, 2012

MORGAN STANLEY

RIA

CRD#: 149777

PURCHASE, NY

Past

June 1, 2009 - September 11, 2012

MORGAN STANLEY

CRD#: 149777

PURCHASE, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

RIA

CRD#: 8209

NEW YORK, NY

Past

April 2, 2007 - June 1, 2009

MORGAN STANLEY & CO. LLC

CRD#: 8209

NEW YORK, NY

Past

November 2, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

RIA

CRD#: 7556

NEW YORK, NY

Past

November 1, 2006 - April 2, 2007

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

January 13, 2001 - October 19, 2006

DEUTSCHE BANK SECURITIES INC.

CRD#: 2525

BALTIMORE, MD

Past

June 20, 2000 - October 19, 2006

DEUTSCHE BANK SECURITIES INC.

RIA

CRD#: 2525

BALTIMORE, MD

Past

June 16, 2000 - January 13, 2001

DB ALEX. BROWN LLC

CRD#: 17790

BALTIMORE, MD

Past

December 24, 1998 - June 2, 2000

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

CRD#: 18353

NEWARK, NJ

Past

July 29, 1993 - January 27, 1999

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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 INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/17/1993

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 11/30/1992

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/28/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/13/2003

General Securities Principal Examination

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

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Contact information

Main Address

200 Park Avenue, New York, NY 10166

Mailing Address

Phone number

(212) 309-8200

Established

Firm type

Fiscal year end

# of Employees

880

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

Regulatory assets under management

Total Number of Accounts	2,261
AUM (Assets Under Management)	$ 253,808,191,665

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/05/2025	Cover Page	Report
11/26/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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.

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Firm Stability Insights

Halvard Kvaale

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA INVESTMENTS DISTRIBUTOR, LLC

MORGAN STANLEY

MORGAN STANLEY

MORGAN STANLEY & CO. LLC

MORGAN STANLEY & CO. LLC

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

DEUTSCHE BANK SECURITIES INC.

DEUTSCHE BANK SECURITIES INC.

DB ALEX. BROWN LLC

PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/17/1993

Series 65

Date: 11/30/1992

SIE

Date: 10/1/2018

Series 7

Date: 7/28/1993

Series 24

Date: 2/13/2003

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

TRUST BUT VERIFY

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