Willie F. Griffin
Professional summary
Willie F Griffin, who also goes by Will F Griffin, Will Griffin, Willie Frank Griffin Jr, Willie Frank Griffin, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Charlotte, North Carolina and VOYA FINANCIAL PARTNERS, LLC located in Urbandale, Iowa.
Willie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Willie has worked at 13 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Willie F Griffin's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 19, 2023 - Present
VOYA RETIREMENT ADVISORS, LLC
July 5, 2023 - Present
VOYA FINANCIAL PARTNERS, LLC
July 5, 2023 - July 19, 2023
VOYA FINANCIAL PARTNERS, LLC
October 7, 2019 - November 30, 2022
EMPOWER ADVISORY GROUP, LLC
April 24, 2019 - November 30, 2022
EMPOWER FINANCIAL SERVICES, INC.
March 21, 2016 - July 10, 2017
NUVEEN SECURITIES, LLC
June 4, 2014 - March 21, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
October 3, 2013 - May 6, 2014
WELLS FARGO CLEARING SERVICES, LLC
March 21, 2013 - August 20, 2013
ALIGHT FINANCIAL SOLUTIONS, LLC
April 1, 2006 - May 16, 2011
METLIFE INVESTORS DISTRIBUTION COMPANY
August 12, 2003 - April 1, 2006
TOWER SQUARE SECURITIES, INC.
January 6, 2000 - September 15, 2000
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
June 5, 1998 - August 24, 1998
IDS LIFE INSURANCE COMPANY
June 5, 1998 - August 24, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/5/2023)
(7/19/2023)
Exams
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/15/2026 | ||
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
