Robert D. Bomgaars
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.
Robert Dale Bomgaars, who also goes by Bob Bomgaars, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1971. Robert had worked at 9 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 30, 2012 - August 20, 2014
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - October 5, 2010
VOYA FINANCIAL ADVISORS, INC.
July 1, 2002 - April 30, 2009
SLD AMERICA EQUITIES, INC.
March 18, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
September 20, 2000 - February 13, 2002
BANCNORTH INVESTMENT GROUP, INC.
August 12, 1997 - March 15, 2002
VOYA FINANCIAL ADVISORS, INC.
September 13, 1984 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
September 13, 1984 - November 15, 1993
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
September 13, 1984 - November 15, 1993
OSAIC FA, INC.
July 10, 1980 - September 13, 1982
VERAVEST INVESTMENTS, INC.
April 13, 1971 - November 27, 1979
NYLIFE SECURITIES LLC
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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 1
Date: 4/8/1971
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
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.
