MM
Michael W. Memory
VOYA INVESTMENT MANAGEMENT CO.
Vista, CA
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CRD#: 3019849
MM
Professional summary
Michael Woods Memory, who also goes by Michael W Memory, is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Vista, California and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Michael has worked at 8 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael W Memory
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.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Woods Memory'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
July 19, 2022 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
Vista, CA
Current
July 18, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
July 21, 2010 - August 10, 2022
ALLIANZ GLOBAL INVESTORS U.S. LLC
RIA
CRD#: 149003
NEW YORK, NY
Past
April 1, 2010 - August 10, 2022
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
BD
CRD#: 25567
SAN DIEGO, CA
Past
September 26, 2000 - January 3, 2011
NICHOLAS-APPLEGATE CAPITAL MANAGEMENT LLC
RIA
CRD#: 104606
SAN DIEGO, CA
Past
December 2, 1999 - April 19, 2010
NICHOLAS-APPLEGATE SECURITIES LLC
BD
CRD#: 31205
SAN DIEGO, CA
Past
August 17, 1999 - December 3, 1999
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
EL SEGUNDO, CA
Past
October 20, 1998 - May 7, 1999
CIBC WORLD MARKETS CORP.
BD
CRD#: 630
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)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(7/18/2022)
RR
Alaska(7/18/2022)
RR
Arizona(7/18/2022)
RR
Arkansas(7/18/2022)
RR
California(7/18/2022)
IAR
California(7/19/2022)
RR
Colorado(7/18/2022)
RR
Connecticut(7/18/2022)
RR
Delaware(7/18/2022)
RR
District of Columbia(7/18/2022)
RR
Florida(7/18/2022)
RR
Georgia(7/18/2022)
RR
Hawaii(7/18/2022)
RR
Idaho(7/18/2022)
RR
Illinois(7/18/2022)
RR
Indiana(7/18/2022)
RR
Iowa(7/18/2022)
RR
Kansas(7/18/2022)
RR
Kentucky(7/18/2022)
RR
Louisiana(7/18/2022)
RR
Maine(7/18/2022)
RR
Maryland(7/18/2022)
RR
Massachusetts(7/18/2022)
RR
Michigan(7/18/2022)
RR
Minnesota(7/18/2022)
RR
Mississippi(7/18/2022)
RR
Missouri(7/18/2022)
RR
Montana(7/18/2022)
RR
Nebraska(7/18/2022)
RR
Nevada(7/18/2022)
RR
New Hampshire(7/18/2022)
RR
New Jersey(7/18/2022)
RR
New Mexico(7/18/2022)
RR
New York(7/18/2022)
RR
North Carolina(7/18/2022)
RR
North Dakota(7/18/2022)
RR
Ohio(7/18/2022)
RR
Oklahoma(7/18/2022)
RR
Oregon(7/18/2022)
RR
Pennsylvania(7/18/2022)
RR
Puerto Rico(7/18/2022)
RR
Rhode Island(7/18/2022)
RR
South Carolina(7/18/2022)
RR
South Dakota(7/18/2022)
RR
Tennessee(7/18/2022)
RR
Texas(7/18/2022)
RR
Utah(7/18/2022)
RR
Vermont(7/18/2022)
RR
Virgin Islands(7/18/2022)
RR
Virginia(7/18/2022)
RR
Washington(7/18/2022)
RR
West Virginia(7/18/2022)
RR
Wisconsin(7/18/2022)
RR
Wyoming(7/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)PREMIUM
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Contact information
Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
