Frank R. Peperno

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CRD#: 2305291

Professional summary

Frank Rocco Peperno was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Frank is a previously registered financial advisor and started their career in finance in 1993. Prior to being barred, Frank had worked at 7 firms, which includes VOYA FINANCIAL ADVISORS INC., LPL FINANCIAL LLC, FIRST MONTAUK SECURITIES CORP., SAFEGUARD SECURITIES INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, EQUITABLE ADVISORS LLC, AMERICORP SECURITIES INC..

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

April 19, 2006 - October 13, 2006

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

OLD FORGE, PA

Past

April 11, 2006 - October 13, 2006

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

OLD FORGE, PA

Past

May 16, 1997 - April 6, 2006

LPL FINANCIAL LLC

CRD#: 6413

OLD FORGE, PA

Past

February 7, 1995 - May 2, 1997

FIRST MONTAUK SECURITIES CORP.

CRD#: 13755

RED BANK, NJ

Past

August 10, 1994 - February 13, 1995

SAFEGUARD SECURITIES, INC.

CRD#: 31256

MAYFIELD HEIGHTS, OH

Past

April 3, 1993 - January 13, 1994

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

April 3, 1993 - January 13, 1994

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

January 29, 1993 - March 12, 1993

AMERICORP SECURITIES, INC.

CRD#: 30405

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 FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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.

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

IAR

Series 65

Date: 3/18/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 1/29/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/26/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 8

Date: 4/22/1997

General Securities Sales Supervisor Examination (Options Module & General Module)

Principal/Supervisory Exam

Series 24

Date: 2/25/1997

General Securities Principal Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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

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Frank R. Peperno

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

FIRST MONTAUK SECURITIES CORP.

SAFEGUARD SECURITIES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

AMERICORP SECURITIES, INC.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/18/1997

Series 63

Date: 1/29/1993

Series 7

Date: 1/26/1993

Series 8

Date: 4/22/1997

Series 24

Date: 2/25/1997

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

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