Kevin D. Paul

VOYA RETIREMENT ADVISORS

Battle Creek, MI

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CRD#: 2376799

Professional summary

Kevin Donald Paul is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Battle Creek, Michigan and VOYA FINANCIAL PARTNERS, LLC located in Urbandale, Iowa.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Kevin has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

1. 05/18/2022 - Advia Financial Advisors - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - 0 Hours Per Month/0 Hours During Securities Trading.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Donald Paul's CRS (Customer Relationship Summary).

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

Current

April 4, 2024 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Battle Creek, MI

Current

April 2, 2024 - Present

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

Urbandale, IA

Past

May 18, 2022 - March 25, 2024

LPL FINANCIAL LLC

RIA

CRD#: 6413

PARCHMENT, MI

Past

May 18, 2022 - March 25, 2024

LPL FINANCIAL LLC

CRD#: 6413

PARCHMENT, MI

Past

July 13, 2018 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

KALAMAZOO, MI

Past

July 12, 2018 - May 18, 2022

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

KALAMAZOO, MI

Past

August 19, 2016 - June 26, 2018

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

BATTLE CREEK, MI

Past

February 10, 2005 - June 26, 2018

CETERA WEALTH SERVICES, LLC

CRD#: 13572

BATTLE CREEK, MI

Past

April 29, 1999 - August 13, 2004

LPL FINANCIAL LLC

CRD#: 6413

FORT MILL, SC

Past

July 27, 1998 - May 13, 1999

LASALLE FINANCIAL SERVICES, INC.

CRD#: 20373

CHICAGO, IL

Past

April 15, 1998 - July 27, 1998

STANDARD BROKERAGE SERVICES, INC.

CRD#: 14387

Past

May 2, 1997 - April 16, 1998

CONSECO SECURITIES, INC.

CRD#: 29367

CARMEL, IN

Past

November 10, 1995 - May 1, 1997

INVEST FINANCIAL CORPORATION

CRD#: 12984

APPLETON, WI

Past

September 1, 1993 - November 15, 1995

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 1, 1993 - November 15, 1995

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

August 20, 1993 - August 30, 1993

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Michigan
(4/2/2024)

IAR

Michigan
(4/4/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 3/29/2016

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/26/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/18/1995

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 8/19/1993

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 2/18/2000

General Securities Principal Examination

SRO Registrations

FINRA

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.

Contact information

xxxxx@xxxx.xxx

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Firm Stability Insights

Kevin D. Paul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Donald Paul's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CETERA WEALTH SERVICES, LLC

CETERA WEALTH SERVICES, LLC

LPL FINANCIAL LLC

LASALLE FINANCIAL SERVICES, INC.

STANDARD BROKERAGE SERVICES, INC.

CONSECO SECURITIES, INC.

INVEST FINANCIAL CORPORATION

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/29/2016

Series 63

Date: 7/26/1993

SIE

Date: 10/1/2018

Series 7

Date: 12/18/1995

Series 6

Date: 8/19/1993

Series 24

Date: 2/18/2000

FINRA

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

Contact information

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