PF
Paul A. Franco
VOYA FINANCIAL ADVISORS
St. John, IN 46373
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CRD#: 2476444
PF
Professional summary
Paul Anthony Franco, who also goes by Tony Franco, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in St. John, Indiana.
Paul is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Paul has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tony Franco
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 9565 N INDUSTRIAL DRIVE; ST JOHN; IN; 46373; Independent Insurance Agent; INDEPENDENT INSURANCE AGENT; 7/8/2016; 160; 160; sales of fixed insurance products| NAME OF ENTITY:TAT ASSOCIATES, LLC; Yes; 9565 N INDUSTRIAL DR; ST JOHN; IN; 46373; FINANCIAL SERVICES/DBA USED FOR TAX PURPOSES; PRESIDENT/OWNER; 1/1/2017; 1; 1; SALE & SERVICE INSURANCE,SECURITIES AND INVESTMENT PRODUCTS.| NAME OF ENTITY:CALUMET COLLEGE OF ST. JOSEPH; No; 2400 NEW YORK AVE; WHITING; IN; 46394; COLLEGE INSTRUCTOR; ADJUNCT INSTRUCTOR; 1/1/1990; 30; 0; FACILITATE EDUCATIONAL LEARNING. BUSINESS AND PSYCHOLOGY DEPARTMENTS| BROWN INSURANCE GROUP POSITION: Financial Advisor NATURE: I would receive a split-commission for clients I refer to Brown Insurance Group who end up writing policies and becoming clients with them. I am also P&C licensed. To replace prior OBA with TW Group. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 01/24/2025 ADDRESS: 9105A Indianapolis Blvd. #300, Highland IN 46322, United States DESCRIPTION: Referrals only.
CRS (Client Relationship Summary) - RIA
Click below to view Paul Anthony Franco's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Paul Anthony Franco'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®
NoneExperience
Current
August 10, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 9565 N Industrial Drive, St. John, IN 46373RIA
BD
CRD#: 2882
St. John, IN
Current
July 8, 2016 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 9565 N Industrial Drive, St. John, IN 46373RIA
BD
CRD#: 2882
St. John, IN
Past
January 3, 2015 - July 12, 2016
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ST. JOHN, IN
Past
July 12, 2002 - December 31, 2012
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
ST. JOHN, IN
Past
June 20, 1994 - January 27, 1998
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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 FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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.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
Arizona(2/4/2022)
RR
Illinois(7/8/2016)
RR
Indiana(7/8/2016)
IAR
Indiana(8/10/2016)
RR
Kentucky(8/28/2020)
RR
Michigan(4/28/2022)
RR
Missouri(2/6/2017)
RR
New York(1/2/2025)
IAR
New York(1/2/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)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
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882St. John, IN 46373TRUST BUT VERIFY
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