FG
Frederick A. Gawlick
VOYA FINANCIAL ADVISORS
Santa Cruz, CA
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CRD#: 218971
FG
Professional summary
Frederick Andrew Gawlick is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Santa Cruz, California.
Frederick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1974. Frederick has worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, Series 6TO, SIE and Series 1 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:Better Business Bureau of Silicon Valley; No; 1112 S BASCOM AVE; SANJOSE; CA; 95128; non-profit consumer and business services group; Director; 7/1/2012; 4; 4; Review progress of the bureau, approve new member|NAME OF ENTITY:Santa Cruz Education Foundation; No; PO Box 8501; santa cruz; CA; 95061; promote excellance in Santa Cruz City schools by supporting programs that develop creative ,capable and engaged learners for students to achive tgeir fullpotential.; board member; 11/1/2022; 4; 2; work with board to decide and support programs to help teachers ,students and parents achieve agreed upon results.|
CRS (Client Relationship Summary) - RIA
Click below to view Frederick Andrew Gawlick's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Frederick Andrew Gawlick'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.
RIA
BD
CRD#: 2882
Santa Cruz, CA
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Santa Cruz, CA
Past
May 21, 2003 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
SAN JOSE, CA
Past
August 14, 2000 - May 23, 2003
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
SAN JOSE, CA
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
SAN JOSE, CA
Past
March 23, 1993 - April 1, 1997
NPC SECURITIES, INC.
BD
CRD#: 10121
GREENWOOD VILLAGE, CO
Past
March 30, 1987 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
July 1, 1982 - February 4, 1987
WS GRIFFITH SECURITIES, INC.
BD
CRD#: 10410
Past
January 1, 1974 - February 23, 1987
HOME LIFE INSURANCE COMPANY
BD
CRD#: 4184
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(1/3/2011)
RR
California(1/3/2011)
IAR
California(1/3/2011)
RR
Colorado(8/8/2025)
RR
Idaho(2/18/2021)
RR
Illinois(8/8/2025)
RR
Nevada(1/15/2021)
RR
New Jersey(8/8/2025)
RR
Oregon(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 12/19/1973
Registered Representative ExaminationSRO 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.
