Roderic G. Giltz
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.
Roderic Glenn Giltz was a registered financial professional .
Roderic is a previously registered financial professional and started their career in finance in 1969. Roderic had worked at 8 firms and has passed the Series 63, Series 2 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 3, 2011 - March 7, 2012
VOYA FINANCIAL ADVISORS, INC.
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
April 21, 1987 - April 20, 1989
SG EQUITIES CORPORATION
September 18, 1985 - June 3, 1986
TNE INVESTMENT SERVICES CORPORATION
June 19, 1983 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 9, 1973 - February 10, 1988
VP DISTRIBUTORS LLC
December 21, 1970 - October 25, 1972
ZENITH AMERICAN SECURITIES CORPORATION
November 10, 1969 - January 14, 1971
INTERFUNDING PLANS INC
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
Series 2
Date: 12/21/1970
Non-Member General Securities ExaminationSeries 1
Date: 1/24/1969
Registered Representative ExaminationCurrent 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.
