Paul S. Indianer
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.
Paul Simon Indianer was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1972. Paul had worked at 4 firms and has passed the Series 63, Series 65, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 24, 2011 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
December 17, 2010 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
August 9, 2005 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
June 30, 2004 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
December 29, 1986 - July 8, 2004
VOYA FINANCIAL ADVISORS, INC.
December 15, 1982 - June 30, 2004
VOYA FINANCIAL ADVISORS, INC.
November 18, 1975 - November 4, 1982
NORTH AMERICAN MANAGEMENT, INC.
October 19, 1972 - June 30, 1975
AMERICAN PENSION INVESTMENTS, INC.
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: 10/14/1972
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.
