David H. Douglas

VOYA RETIREMENT ADVISORS

Maple Grove, MN

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CRD#: 2950110

Professional summary

David Howard Douglas, who also goes by David Douglas, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Maple Grove, Minnesota and VOYA FINANCIAL PARTNERS, LLC located in Urbandale, Iowa.

David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. David has worked at 12 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David Douglas

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) - RIA

Click below to view David Howard Douglas'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

August 8, 2023 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Maple Grove, MN

Current

August 8, 2023 - Present

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

Urbandale, IA

Past

January 18, 2022 - May 31, 2023

CETERA WEALTH SERVICES, LLC

RIA

CRD#: 13572

MAPLE GROVE, MN

Past

January 18, 2022 - September 8, 2022

FIRST ALLIED SECURITIES, INC.

CRD#: 32444

SAN DIEGO, CA

Past

January 18, 2022 - May 31, 2023

CETERA INVESTMENT SERVICES LLC

CRD#: 15340

ST. CLOUD, MN

Past

January 18, 2022 - May 31, 2023

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

Past

January 18, 2022 - May 31, 2023

CETERA ADVISORS LLC

CRD#: 10299

GREENWOOD VILLAGE, CO

Past

January 18, 2022 - May 31, 2023

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

March 16, 2021 - December 22, 2021

VALIC FINANCIAL ADVISORS, INC.

RIA

CRD#: 42803

EDINA, MN

Past

February 25, 2021 - December 22, 2021

VALIC FINANCIAL ADVISORS, INC.

CRD#: 42803

EDINA, MN

Past

August 27, 2019 - October 15, 2020

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

CRD#: 13594

SAN MATEO, CA

Past

October 12, 2004 - October 13, 2020

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

ST. PETERSBURG, FL

Past

August 24, 2004 - September 17, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

BRADENTON, FL

Past

March 12, 2004 - September 17, 2004

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

July 24, 2002 - March 16, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

October 1, 1997 - July 9, 2002

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

CRD#: 332

SAN MATEO, 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 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

Minnesota
(8/8/2023)

IAR

Minnesota
(8/8/2023)

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 66

Date: 3/12/2021

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 1/10/2001

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: 9/9/2002

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/30/1997

Investment Company Products/Variable Contracts 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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Firm Stability Insights

David H. Douglas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Howard Douglas's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

CETERA WEALTH SERVICES, LLC

FIRST ALLIED SECURITIES, INC.

CETERA INVESTMENT SERVICES LLC

CETERA FINANCIAL SPECIALISTS LLC

CETERA ADVISORS LLC

CETERA WEALTH SERVICES, LLC

VALIC FINANCIAL ADVISORS, INC.

VALIC FINANCIAL ADVISORS, INC.

FRANKLIN TEMPLETON FINANCIAL SERVICES CORP.

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

FRANKLIN/TEMPLETON DISTRIBUTORS, LLC

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/12/2021

Series 63

Date: 1/10/2001

SIE

Date: 10/1/2018

Series 7

Date: 9/9/2002

Series 6

Date: 9/30/1997

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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