AC
Amy K. Cummings
VOYA FINANCIAL ADVISORS
MIAMISBURG, OH 45342
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CRD#: 2486117
AC
Professional summary
Amy Klein Cummings, CFP®, who also goes by Amy Catherine Cummings, Amy Catherine Klein, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Miamisburg, Ohio.
Amy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Amy has worked at 3 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51, Series 24 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Amy Catherine Cummings | Amy Catherine Klein
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.
AGIA POSITION: Agent NATURE: null INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/17/2022 ADDRESS: 2929 Allen Parkway, Houston TX 77019, United States DESCRIPTION: Non-Securities Insurance Products
CRS (Client Relationship Summary) - RIA
Click below to view Amy Klein Cummings's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Amy Klein Cummings'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®
Experience
Current
February 5, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 10100 Innovation Dr Ste 120, Miamisburg, OH 45342RIA
BD
CRD#: 2882
MIAMISBURG, OH
Current
February 12, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 10100 Innovation Dr Ste 120, Miamisburg, OH 45342RIA
BD
CRD#: 2882
MIAMISBURG, OH
Past
March 17, 2003 - February 7, 2024
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
MERRILLVILLE, IN
Past
October 28, 1998 - February 7, 2024
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
MERRILLVILLE, IN
Past
July 1, 1994 - January 17, 2002
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
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
Alabama(3/14/2025)
RR
Alaska(3/14/2025)
RR
Arizona(3/14/2025)
RR
Arkansas(3/14/2025)
RR
California(3/14/2025)
RR
Colorado(3/14/2025)
RR
Connecticut(3/14/2025)
RR
Delaware(3/14/2025)
RR
District of Columbia(3/14/2025)
RR
Florida(3/14/2025)
RR
Georgia(3/14/2025)
RR
Hawaii(3/14/2025)
RR
Idaho(3/14/2025)
RR
Illinois(3/14/2025)
IAR
Indiana(2/5/2025)
RR
Indiana(2/12/2025)
RR
Iowa(3/14/2025)
RR
Kansas(3/14/2025)
RR
Kentucky(3/14/2025)
RR
Louisiana(3/14/2025)
RR
Maine(3/14/2025)
RR
Maryland(3/14/2025)
RR
Massachusetts(3/14/2025)
RR
Michigan(3/14/2025)
RR
Minnesota(3/14/2025)
RR
Mississippi(3/14/2025)
RR
Missouri(3/14/2025)
RR
Montana(3/14/2025)
RR
Nebraska(3/14/2025)
RR
Nevada(3/14/2025)
RR
New Hampshire(3/14/2025)
RR
New Jersey(3/14/2025)
RR
New Mexico(3/14/2025)
RR
New York(3/14/2025)
IAR
New York(4/17/2025)
RR
North Carolina(3/14/2025)
RR
North Dakota(3/14/2025)
RR
Ohio(2/12/2025)
IAR
Ohio(2/12/2025)
RR
Oklahoma(3/14/2025)
RR
Oregon(3/14/2025)
RR
Pennsylvania(3/14/2025)
RR
Rhode Island(3/14/2025)
RR
South Carolina(3/14/2025)
RR
South Dakota(3/14/2025)
RR
Tennessee(3/14/2025)
RR
Texas(3/14/2025)
IAR
Texas(4/17/2025)
RR
Utah(3/14/2025)
RR
Vermont(3/14/2025)
RR
Virginia(3/14/2025)
RR
Washington(3/14/2025)
RR
West Virginia(3/14/2025)
RR
Wisconsin(3/14/2025)
RR
Wyoming(3/14/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 2882Miamisburg, OH 45342TRUST BUT VERIFY
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