Gustavo A. Guerrero

VOYA RETIREMENT ADVISORS

Bedord, TX

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CRD#: 2580303

Professional summary

Gustavo Amado Guerrero Jr, who also goes by Gustavo Amado Guerrero IV, Gustavo Amado Guerrero Jr, Gustavo Amado Guerrero, Tav Guerrero, Tavo Guerrero, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Bedord, Texas and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Gustavo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Gustavo has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 22 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Gustavo Amado Guerrero Iv | Gustavo Amado Guerrero Jr | Gustavo Amado Guerrero | Tav Guerrero | Tavo Guerrero

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.

TSSLG LLC/ DBA Endoskel; Not investment related; 3051 Old Orchard Ln, Bedford, TX 76021; We manufacture and sell a piece of baseball equipment online.; President / Owner; 11/01/2015 ; 5 hour per month; 0 hours per month during trading hours; oversee the manufacture and the sales process. Other family members actually facilitate the sales and shipping processes. all sales occur on amazon and ebay.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gustavo Amado Guerrero Jr'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®

None

Experience

Current

February 13, 2025 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Bedord, TX

Current

January 16, 2025 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095

CRD#: 34815

Windsor, CT

Past

November 24, 2015 - February 8, 2025

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Bedford, TX

Past

November 24, 2015 - January 16, 2025

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

May 26, 2010 - October 12, 2015

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

WESTLAKE, TX

Past

January 1, 2008 - October 12, 2015

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

October 19, 2007 - January 1, 2008

FIDELITY DISTRIBUTORS COMPANY LLC

CRD#: 17507

GRAPEVINE, TX

Past

May 24, 2001 - August 20, 2007

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

WESTLAKE, TX

Past

October 6, 1997 - May 15, 2001

BROWNCO, LLC

CRD#: 1326

BOSTON, MA

Past

April 25, 1997 - October 2, 1997

NEBRASKA HUDSON COMPANY, INC.

CRD#: 27501

OMAHA, NE

Past

June 18, 1996 - September 5, 1996

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

June 18, 1996 - September 5, 1996

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

May 30, 1995 - March 12, 1996

REEF SECURITIES, INC.

CRD#: 31951

RICHARDSON, TX

Past

February 24, 1995 - May 31, 1995

LANE HARTMAN SECURITIES, INC.

CRD#: 36817

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 RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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.

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

Texas
(1/16/2025)

IAR

Texas
(2/13/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 5/24/2010

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/2/1995

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/17/1996

General Securities Representative Examination

General Industry/Product Exam

Series 22

Date: 1/24/1995

Direct Participation Programs Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

Phone number

(860) 580-2817

Established

New Jersey since 02/01/2000

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

116

SEC notice filing (52 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Gustavo A. Guerrero

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Gustavo Amado Guerrero Jr's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

STRATEGIC ADVISERS LLC

FIDELITY BROKERAGE SERVICES LLC

FIDELITY DISTRIBUTORS COMPANY LLC

FIDELITY BROKERAGE SERVICES LLC

BROWNCO, LLC

NEBRASKA HUDSON COMPANY, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

REEF SECURITIES, INC.

LANE HARTMAN SECURITIES, INC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/24/2010

Series 63

Date: 2/2/1995

SIE

Date: 10/1/2018

Series 7

Date: 6/17/1996

Series 22

Date: 1/24/1995

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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