Richard C. Clow
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.
Richard Chidester Clow, who also goes by Dick Clow, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1992. Richard had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 23, 2016 - January 17, 2017
VOYA FINANCIAL ADVISORS, INC.
July 7, 2014 - May 3, 2016
GITTERMAN WEALTH MANAGEMENT, LLC
June 23, 2014 - May 3, 2016
TRIAD ADVISORS LLC
January 3, 2011 - June 19, 2014
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - June 19, 2014
VOYA FINANCIAL ADVISORS, INC.
March 2, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
March 2, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
May 2, 2002 - March 17, 2005
VALIC FINANCIAL ADVISORS, INC.
November 9, 2001 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
November 9, 2001 - March 17, 2005
VALIC FINANCIAL ADVISORS, INC.
January 1, 1998 - November 12, 2001
CUNA BROKERAGE SERVICES, INC.
July 10, 1995 - December 19, 1997
HORNOR, TOWNSEND & KENT, LLC
September 7, 1993 - June 30, 1995
1717 CAPITAL MANAGEMENT COMPANY
October 13, 1992 - September 10, 1993
PRUCO SECURITIES, LLC.
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
Current 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.
