William Broda
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 Broda, who also goes by Bill Broda, William R A Broda, was a registered financial professional .
William is a previously registered financial professional and started their career in finance in 1996. William had worked at 10 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 7, 2008 - September 20, 2012
VOYA INVESTMENT MANAGEMENT CO. LLC
February 11, 2008 - September 20, 2012
VOYA INVESTMENTS DISTRIBUTOR, LLC
September 25, 2007 - November 7, 2008
VOYA INVESTMENT MANAGEMENT CO. LLC
September 24, 2007 - March 3, 2008
ING INVESTMENT MANAGEMENT SERVICES LLC
April 25, 2006 - July 16, 2007
DIRECTED SERVICES LLC
July 6, 2005 - April 4, 2006
CHASE INVESTMENT SERVICES CORP.
July 6, 2005 - April 4, 2006
CHASE INVESTMENT SERVICES CORP.
June 6, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
January 1, 2005 - July 6, 2005
BANC ONE SECURITIES CORPORATION
March 20, 2001 - January 8, 2002
FIS BROKERAGE & SECURITIES SERVICES LLC
March 14, 2000 - December 19, 2000
GREENWICH PARTNERS, LLC
July 2, 1997 - December 4, 1998
HARRIS NESBITT CORP.
February 7, 1996 - April 23, 1996
SALOMON BROTHERS INC.
Primary Firm SEC Registration
VOYA INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
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 INVESTMENT MANAGEMENT CO. LLC
CRD#: 106494 / SEC#: 801-9046
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
