William J. Letts
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.
William Joseph Girvan Letts, who also goes by Joe Letts, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1993. William had worked at 7 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, SIE, Series 3, Series 31, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 18, 2018 - September 2, 2020
VOYA FINANCIAL ADVISORS, INC.
December 17, 2018 - September 2, 2020
VOYA FINANCIAL ADVISORS, INC.
September 19, 2016 - August 3, 2018
WELLS FARGO CLEARING SERVICES, LLC
July 25, 2016 - August 3, 2018
WELLS FARGO CLEARING SERVICES, LLC
December 23, 2013 - June 7, 2016
WADDELL & REED
December 20, 2013 - June 7, 2016
WADDELL & REED
February 6, 2012 - December 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 6, 2012 - December 26, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
September 14, 2010 - January 19, 2012
MORGAN STANLEY
June 1, 2009 - January 19, 2012
MORGAN STANLEY
November 28, 2001 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
November 21, 2001 - November 28, 2001
CITIGROUP GLOBAL MARKETS INC.
June 16, 1993 - December 6, 2001
MORGAN STANLEY DW 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 7TO
Date: 6/15/2024
General Securities Representative ExaminationSeries 8
Date: 11/8/1995
General Securities Sales Supervisor Examination (Options Module & General Module)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.
