DP
Darlene Pachot
VOYA FINANCIAL ADVISORS
Los Angeles, CA
Some features on this profile are disabled
CRD#: 2673451
DP
Professional summary
Darlene Pachot, who also goes by Darlene Jack, Darlene Wheeler, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Los Angeles, California.
Darlene is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Darlene has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Darlene Jack | Darlene Wheeler
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:DARLENE PACHOT; Yes; 5829 HALM ST.; LOS ANGELES; CA; 90056; PREACHER - VISITING PREACHER; PREACHER - VISITING PREACHER; 4/1/2011; 4; 4; PUCLIC SPEAKING. VISITING PREACHER| NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 5829 HALM ST.; LOS ANGELES; CA; 90056; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 1/1/2011; 160; 160; SALE OF FIXED INSURANCE PRODUCTS| NAME OF ENTITY:DJP Financial Services; Yes; PO Box 10368; Marina Del Rey; CA; 90292; FINANCIAL SERVICES/DBA; President; 3/17/2009; 160; 160; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS.|
CRS (Client Relationship Summary) - RIA
Click below to view Darlene Pachot's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Darlene Pachot'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.
RIA
BD
CRD#: 2882
Los Angeles, CA
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Los Angeles, CA
Past
November 18, 2002 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
LOS ANGELES, CA
Past
June 20, 2000 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
TORRANCE, CA
Past
November 14, 1996 - August 16, 1999
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
January 3, 1996 - November 19, 1996
METLIFE INVESTORS DISTRIBUTION COMPANY
BD
CRD#: 6695
NEWPORT BEACH, CA
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(2/5/2021)
RR
Arizona(12/5/2018)
RR
California(1/3/2011)
IAR
California(1/3/2011)
RR
Colorado(12/5/2018)
RR
Florida(8/5/2011)
RR
Georgia(8/5/2011)
RR
Idaho(5/18/2021)
RR
Maryland(4/13/2023)
RR
Nevada(8/24/2021)
RR
New Mexico(5/27/2020)
RR
Ohio(4/5/2022)
RR
Oregon(4/4/2022)
RR
Pennsylvania(9/6/2023)
RR
Texas(1/2/2015)
IAR
Texas(4/30/2020)
RR
Washington(10/22/2018)
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.
