DC
Deborah A. Collins
VOYA FINANCIAL ADVISORS
Clifton Park, NY
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CRD#: 2691018
DC
Professional summary
Deborah A Collins, who also goes by Deborah A Frail, Deborah Frail, Deborah A Frail, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Clifton Park, New York.
Deborah is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Deborah has worked at 8 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Deborah A Frail | Deborah Frail | Deborah A Frail
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.
Carol and Ed Frail Irrevocable Trust; No; 66 Warren Street Saratoga Springs, NY 12866; Trustee; Jan 2016; 0 hrs/mo; 0 hrs/mo; Parents' Medicaid Trust; Act as Trustee, facilitate the sale of parents' home EMPIRE STATE WEALTH MANAGEMENT POSITION: Investment Adviser Representative NATURE: Greg is the owner of the DBA and I participate in sales and marketing initiatives. INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 04/03/2023 ADDRESS: 40 Newton Avenue, Saratoga Springs NY 12866, United States DESCRIPTION: I am a registered investment adviser I provide advice and counsel to clients and prospects. FIXED INSURANCE AGENT POSITION: Independent Insurance Agent NATURE: fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/07/2025 ADDRESS: 3 Donswood Ct, Clifton Park NY 12065, United States DESCRIPTION: sales and service of fixed insurance
CRS (Client Relationship Summary) - RIA
Click below to view Deborah A Collins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Deborah A Collins'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
April 3, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Clifton Park, NY
Current
April 3, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Clifton Park, NY
Past
April 6, 2021 - October 6, 2022
MANNING & NAPIER ADVISORS, LLC
RIA
CRD#: 105992
Clifton park, NY
Past
January 5, 2021 - October 6, 2022
MANNING & NAPIER INVESTOR SERVICES, INC.
BD
CRD#: 26266
FAIRPORT, NY
Past
June 20, 2018 - June 29, 2020
HEALTHCARE COMMUNITY SECURITIES CORP.
RIA
CRD#: 36026
RENSSELAER, NY
Past
October 29, 2014 - June 29, 2020
HEALTHCARE COMMUNITY SECURITIES CORP.
BD
CRD#: 36026
RENSSELAER, NY
Past
September 6, 2005 - July 19, 2007
MERCER ALLIED COMPANY, L.P.
BD
CRD#: 37404
LATHAM, NY
Past
March 16, 1999 - June 17, 2005
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
August 5, 1998 - February 16, 1999
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 20, 1997 - April 13, 1998
CHARLES SCHWAB & CO., INC.
BD
CRD#: 5393
WESTLAKE, TX
Past
January 16, 1996 - July 9, 1997
GLEACHER & COMPANY SECURITIES, INC.
BD
CRD#: 298
NEW YORK, NY
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
Florida(7/15/2025)
RR
New York(4/3/2023)
IAR
New York(4/3/2023)
RR
Vermont(10/21/2024)
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.
