Colin L. Brittain
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.
Colin Lawrence Brittain, who also goes by Colin Brittain, was a registered financial professional .
Colin is a previously registered financial professional and started their career in finance in 1997. Colin had worked at 3 firms and has passed the Series 65, Series 63, Series 2 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2024 - October 7, 2025
VOYA INVESTMENT MANAGEMENT CO. LLC
July 21, 2010 - May 22, 2023
ALLIANZ GLOBAL INVESTORS U.S. LLC
July 8, 1997 - January 3, 2011
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
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
Series 2
Date: 7/21/1994
Non-Member General Securities ExaminationCurrent 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.
