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JG

James D. Gervasi

VOYA INVESTMENTS DISTRIBUTOR
Pembroke, MA
Some features on this profile are disabled
CRD#: 2428560
JG

Professional summary

James Daniel Gervasi, who also goes by James D Gervasi, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Pembroke, Massachusetts.

James is registered as a RR (Registered Representative) and started their career in finance in 1997. James has worked at 6 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James D Gervasi

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) - BD

Click below to view James Daniel Gervasi's CRS (Customer Relationship Summary).
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

January 6, 2026 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
Pembroke, MA
Past

March 14, 2019 - December 1, 2025

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
DENVER, CO
Past

January 3, 2019 - March 14, 2019

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

January 2, 2014 - December 31, 2018

ALPS PORTFOLIO SOLUTIONS DISTRIBUTOR, INC.

BD
CRD#: 144464
Hingham, MA
Past

February 20, 2007 - December 31, 2013

ALPS DISTRIBUTORS, INC.

BD
CRD#: 16853
DENVER, CO
Past

February 14, 2000 - January 3, 2007

BOFA DISTRIBUTORS, INC.

BD
CRD#: 30683
BOSTON, MA
Past

May 1, 1997 - February 16, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA
Past

March 31, 1997 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
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

RR
Alabama
(1/6/2026)
RR
Alaska
(1/6/2026)
RR
Arizona
(1/6/2026)
RR
Arkansas
(1/6/2026)
RR
California
(1/6/2026)
RR
Colorado
(1/6/2026)
RR
Connecticut
(1/6/2026)
RR
Delaware
(1/6/2026)
RR
District of Columbia
(1/6/2026)
RR
Florida
(1/6/2026)
RR
Georgia
(1/6/2026)
RR
Hawaii
(1/6/2026)
RR
Idaho
(1/6/2026)
RR
Illinois
(1/6/2026)
RR
Indiana
(1/6/2026)
RR
Iowa
(1/6/2026)
RR
Kansas
(1/6/2026)
RR
Kentucky
(1/6/2026)
RR
Louisiana
(1/6/2026)
RR
Maine
(1/6/2026)
RR
Maryland
(1/6/2026)
RR
Massachusetts
(1/6/2026)
RR
Michigan
(1/6/2026)
RR
Minnesota
(1/6/2026)
RR
Mississippi
(1/6/2026)
RR
Missouri
(1/6/2026)
RR
Montana
(1/6/2026)
RR
Nebraska
(1/6/2026)
RR
Nevada
(1/6/2026)
RR
New Hampshire
(1/6/2026)
RR
New Jersey
(1/6/2026)
RR
New Mexico
(1/6/2026)
RR
New York
(1/6/2026)
RR
North Carolina
(1/6/2026)
RR
North Dakota
(1/6/2026)
RR
Ohio
(1/7/2026)
RR
Oklahoma
(1/6/2026)
RR
Oregon
(1/6/2026)
RR
Pennsylvania
(1/6/2026)
RR
Puerto Rico
(1/6/2026)
RR
Rhode Island
(1/6/2026)
RR
South Carolina
(1/6/2026)
RR
South Dakota
(1/6/2026)
RR
Tennessee
(1/6/2026)
RR
Texas
(1/6/2026)
RR
Utah
(1/6/2026)
RR
Vermont
(1/6/2026)
RR
Virgin Islands
(1/6/2026)
RR
Virginia
(1/6/2026)
RR
Washington
(1/6/2026)
RR
West Virginia
(1/6/2026)
RR
Wisconsin
(1/6/2026)
RR
Wyoming
(1/6/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 2/28/2000
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/29/2008
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 3/27/1997
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
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
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886Pembroke, MA

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