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Ashley N. Dominguez
VOYA FINANCIAL ADVISORS
HOUSTON, TX 77046
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CRD#: 2478680
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Professional summary
Ashley Nicole Dominguez, who also goes by Ashley Nicole Smith, Ashley Nicole Smith-dominguez, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Houston, Texas.
Ashley is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Ashley has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ashley Nicole Smith | Ashley Nicole Smith-Dominguez
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; 2900 N. LOOP WEST SUITE 180; HOUSTON; TX; 77092; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 4/19/2011; 160; 160; SALES OF FIXED INSURANCE PRODUCTS. NAME OF ENTITY: HOUSTON FINANCIAL WEALTH MANAGEMENT LLC; Yes; 2925 Richmond Ave, Ste 1200; HOUSTON; TX; 77098; FINANCIAL SERVICES/dba. 11/21/2022 this DBA has change from Houston Financial Wealth management (sole proprietor) to Houston Financial Wealth Management LLC.; OWNER, INVESTMENT ADVISER; 6/18/2013; 40; 40; INSURANCE & INVESTMENT SALES marketing of securities and fixed product. NAME OF ENTITY: Child Advocates; No; 3701 Kirby Dr Ste 400; Houston; TX; 77098; Volunteer as a Court Appointed Advocate; Volunteer; 11/1/2009; 5; 5; Check on the kids while they're in CPS custody, while the parent(s) are going through the court process. The court asks for our recommendations for the child's best interest. INTERNATIONAL ASSOCIATION OF WOMEN POSITION: member NATURE: As a member, I will attend meetings to network, educate, and support the advancement of women in business. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 02/12/2024 ADDRESS: 55 East Monroe Street, Ste 2120, Chicago IL 60603, United States DESCRIPTION: As a member, I will attend meetings to network, educate, and support the advancement of women in business.
CRS (Client Relationship Summary) - RIA
Click below to view Ashley Nicole Dominguez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashley Nicole Dominguez'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
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 24 Greenway Plaza Suite 1725, Houston, TX 77046RIA
BD
CRD#: 2882
HOUSTON, TX
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 24 Greenway Plaza Suite 1725, Houston, TX 77046RIA
BD
CRD#: 2882
HOUSTON, TX
Past
August 1, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
HOUSTON, TX
Past
July 27, 2009 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
HOUSTON, TX
Past
January 7, 2008 - June 11, 2009
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HOUSTON, TX
Past
November 18, 2005 - June 11, 2009
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
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(4/14/2025)
RR
California(5/30/2018)
RR
Colorado(7/23/2019)
RR
Florida(3/7/2016)
RR
Georgia(9/13/2016)
RR
Illinois(1/29/2021)
RR
Louisiana(6/22/2023)
RR
New York(2/24/2022)
IAR
New York(10/11/2022)
RR
Pennsylvania(8/11/2017)
RR
Texas(1/3/2011)
IAR
Texas(1/3/2011)
RR
Utah(1/5/2021)
RR
Washington(1/2/2020)
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.
