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TN

Theresa Noble

VOYA INVESTMENTS DISTRIBUTOR
Chicago, IL 60606
Some features on this profile are disabled
CRD#: 2897741
TN

Professional summary

Theresa Noble, who also goes by Teri Noble Grumm, Theresa Colleen Noble, Thersa C Noble, Theresa C. Noble-grumm, Theresa Noble-grumm, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Chicago, Illinois.

Theresa is registered as a RR (Registered Representative) and started their career in finance in 1997. Theresa has worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Teri Noble Grumm | Theresa Colleen Noble | Thersa C Noble | Theresa C. Noble-Grumm | Theresa Noble-Grumm

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Theresa Noble's CRS (Customer Relationship Summary).
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

September 29, 2025 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 200 South Wacker Drive, Suite 3100, Chicago, IL 60606
BD
CRD#: 37886
Chicago, IL
Past

November 22, 2016 - March 28, 2024

ANDES CAPITAL GROUP, LLC

BD
CRD#: 139212
Los Angeles, CA
Past

February 14, 2014 - December 15, 2014

PERCIVAL FINANCIAL PARTNERS, LTD.

BD
CRD#: 41813
COLUMBIA, MD
Past

January 2, 2007 - February 27, 2012

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
SAN FRANCISCO, CA
Past

July 11, 2005 - January 2, 2007

LYNCH, JONES & RYAN LLC

BD
CRD#: 3198
SAN FRANCISCO, CA
Past

June 11, 2001 - August 3, 2005

COWEN EXECUTION SERVICES LLC

BD
CRD#: 35693
NEW YORK, NY
Past

April 13, 1999 - May 23, 2000

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
BOSTON, MA
Past

June 11, 1997 - July 12, 1999

BA INVESTMENT SERVICES, INC.

BD
CRD#: 12965
OAKLAND, CA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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
(9/29/2025)
RR
Alaska
(9/29/2025)
RR
Arizona
(9/29/2025)
RR
Arkansas
(9/29/2025)
RR
California
(9/29/2025)
RR
Colorado
(9/29/2025)
RR
Connecticut
(9/29/2025)
RR
Delaware
(9/29/2025)
RR
District of Columbia
(9/29/2025)
RR
Florida
(9/29/2025)
RR
Georgia
(9/29/2025)
RR
Hawaii
(9/29/2025)
RR
Idaho
(9/29/2025)
RR
Illinois
(9/29/2025)
RR
Indiana
(9/29/2025)
RR
Iowa
(9/29/2025)
RR
Kansas
(9/29/2025)
RR
Kentucky
(9/29/2025)
RR
Louisiana
(9/29/2025)
RR
Maine
(9/29/2025)
RR
Maryland
(9/29/2025)
RR
Massachusetts
(9/29/2025)
RR
Michigan
(9/29/2025)
RR
Minnesota
(9/29/2025)
RR
Mississippi
(9/29/2025)
RR
Missouri
(9/29/2025)
RR
Montana
(9/29/2025)
RR
Nebraska
(9/29/2025)
RR
Nevada
(9/29/2025)
RR
New Hampshire
(9/29/2025)
RR
New Jersey
(9/29/2025)
RR
New Mexico
(9/29/2025)
RR
New York
(9/29/2025)
RR
North Carolina
(9/29/2025)
RR
North Dakota
(9/29/2025)
RR
Ohio
(9/29/2025)
RR
Oklahoma
(9/29/2025)
RR
Oregon
(9/29/2025)
RR
Pennsylvania
(9/29/2025)
RR
Puerto Rico
(9/29/2025)
RR
Rhode Island
(9/29/2025)
RR
South Carolina
(9/29/2025)
RR
South Dakota
(9/29/2025)
RR
Tennessee
(9/29/2025)
RR
Texas
(9/29/2025)
RR
Utah
(9/29/2025)
RR
Vermont
(9/29/2025)
RR
Virgin Islands
(9/29/2025)
RR
Virginia
(9/29/2025)
RR
Washington
(9/29/2025)
RR
West Virginia
(9/29/2025)
RR
Wisconsin
(9/29/2025)
RR
Wyoming
(9/29/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 5/15/1998
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 6/27/1997
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/10/1997
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

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
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886Chicago, IL 60606

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