DP
Douglas M. Peters
VOYA FINANCIAL ADVISORS
Melville, NY 11747
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CRD#: 2153901
DP
Professional summary
Douglas Martin Peters is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Melville, New York.
Douglas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Douglas has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE, 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:Elizabethtown College - Blue Jay Athletic Association; No; 1 Alpha Drive; Elizabethtown; PA; 17022; Athletic Program; President; 1/1/2020; 1; 0; I lead the group of volunteers to identify ways alumni can support / attend and promote the athletic program.|
CRS (Client Relationship Summary) - RIA
Click below to view Douglas Martin Peters's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Douglas Martin Peters'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
August 4, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Huntington Quadrangle Suite 1c01, Melville, NY 11747RIA
BD
CRD#: 2882
Melville, NY
Current
October 9, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Huntington Quadrangle Suite 1c01, Melville, NY 11747RIA
BD
CRD#: 2882
Melville, NY
Past
March 4, 2013 - September 6, 2013
WALNUT STREET SECURITIES, INC.
BD
CRD#: 15840
SOMERSET, NJ
Past
March 4, 2013 - September 6, 2013
TOWER SQUARE SECURITIES, INC.
BD
CRD#: 833
SOMERSER, NJ
Past
March 4, 2013 - December 12, 2014
NEW ENGLAND SECURITIES
BD
CRD#: 615
SOMERSET, NJ
Past
July 9, 1991 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
July 9, 1991 - December 12, 2014
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
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
Alaska(2/26/2025)
RR
Arizona(8/4/2021)
RR
Arkansas(1/3/2022)
RR
California(8/4/2021)
RR
Colorado(8/4/2021)
RR
Connecticut(8/4/2021)
RR
Delaware(8/4/2021)
RR
District of Columbia(8/4/2021)
RR
Florida(8/4/2021)
RR
Georgia(8/4/2021)
RR
Hawaii(1/3/2022)
RR
Idaho(1/2/2024)
RR
Illinois(8/4/2021)
RR
Indiana(8/4/2021)
RR
Iowa(1/3/2022)
RR
Kansas(8/4/2021)
RR
Kentucky(8/4/2021)
RR
Louisiana(8/4/2021)
RR
Maine(8/4/2021)
RR
Maryland(8/4/2021)
RR
Massachusetts(8/4/2021)
RR
Michigan(1/3/2022)
RR
Minnesota(8/4/2021)
RR
Missouri(8/4/2021)
RR
Montana(1/3/2022)
RR
Nevada(8/4/2021)
RR
New Hampshire(8/4/2021)
RR
New Jersey(10/9/2015)
IAR
New Jersey(11/22/2024)
RR
New Mexico(8/4/2021)
RR
New York(4/6/2021)
IAR
New York(8/4/2021)
RR
North Carolina(8/4/2021)
RR
Ohio(8/4/2021)
RR
Oklahoma(1/3/2022)
RR
Oregon(8/4/2021)
RR
Pennsylvania(10/9/2015)
RR
Puerto Rico(2/26/2025)
RR
Rhode Island(8/4/2021)
RR
South Carolina(8/4/2021)
RR
Tennessee(8/4/2021)
RR
Texas(8/4/2021)
IAR
Texas(8/4/2021)
RR
Vermont(8/4/2021)
RR
Virgin Islands(8/4/2021)
RR
Virginia(8/4/2021)
RR
Washington(8/4/2021)
RR
Wisconsin(1/3/2022)
RR
Wyoming(11/12/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/17/2021
General Securities Representative ExaminationGeneral 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.
