Michael B. Flaherty

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CRD#: 2230537

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.

Michael Bartley Flaherty was a registered financial professional .

Michael is a previously registered financial professional and started their career in finance in 1992. Michael had worked at 14 firms and has passed the Series 63, Series 65, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

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

October 5, 2017 - August 9, 2018

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Braintree, MA

Past

October 4, 2017 - August 9, 2018

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

BRAINTREE, MA

Past

November 14, 2014 - August 31, 2017

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

BRAINTREE, MA

Past

October 20, 2014 - August 31, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

BRAINTREE, MA

Past

July 27, 2011 - September 17, 2014

EDELMAN FINANCIAL ENGINES

RIA

CRD#: 104510

BOSTON, MA

Past

March 8, 2011 - July 15, 2011

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

February 16, 2011 - July 15, 2011

E*TRADE SECURITIES LLC

CRD#: 29106

BOSTON, MA

Past

July 19, 2010 - March 7, 2011

KOBREN INSIGHT MANAGEMENT INC

RIA

CRD#: 106473

WELLESLEY HILLS, MA

Past

May 27, 2008 - October 22, 2009

ADVISER INVESTMENTS

RIA

CRD#: 106668

NEWTON, MA

Past

June 12, 2007 - March 17, 2008

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEWTON, MA

Past

April 27, 2005 - October 17, 2005

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

CRD#: 20472

NEW YORK, NY

Past

June 26, 1998 - November 12, 2004

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

BOSTON, MA

Past

June 4, 1998 - November 12, 2004

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

August 7, 1997 - March 25, 1998

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SMITHFIELD, RI

Past

October 4, 1995 - August 7, 1997

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

SMITHFIELD, RI

Past

May 26, 1992 - July 10, 1995

DEAM INVESTOR SERVICES, INC.

CRD#: 754

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 RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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: 10/27/2014

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/16/2008

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 8/9/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/20/2014

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/21/1992

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

Phone number

(860) 580-2817

Established

New Jersey since 02/01/2000

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

116

SEC notice filing (52 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	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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Advisor Monitoring

Firm Stability Insights

Michael B. Flaherty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

EDELMAN FINANCIAL ENGINES

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

KOBREN INSIGHT MANAGEMENT INC

ADVISER INVESTMENTS

BANC OF AMERICA INVESTMENT SERVICES, INC.

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/27/2014

Series 65

Date: 5/16/2008

SIE

Date: 8/9/2018

Series 7

Date: 10/20/2014

Series 6

Date: 5/21/1992

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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