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PF

Patricia F. Foley

Some features on this profile are disabled
CRD#: 3023225
PF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Patricia Frances Foley, who also goes by Patti Foley, was a registered financial professional .

Patricia is a previously registered financial professional and started their career in finance in 1998. Patricia had worked at 9 firms and has passed the Series 65, Series 63 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Patti Foley

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

November 22, 2011 - October 25, 2012

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

September 21, 2009 - February 8, 2010

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

September 9, 2009 - February 8, 2010

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
HARTFORD, CT
Past

April 8, 2008 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA
CRD#: 16361
WALTHAM, MA
Past

April 3, 2008 - March 18, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

BD
CRD#: 16361
WALTHAM, MA
Past

January 28, 2005 - June 7, 2007

MANULIFE INVESTMENT MANAGEMENT (US) LLC

RIA
CRD#: 106435
BOSTON, MA
Past

January 28, 2005 - June 7, 2007

JOHN HANCOCK INVESTMENT MANAGEMENT LLC

RIA
CRD#: 105790
BOSTON, MA
Past

August 16, 2004 - June 6, 2007

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

May 31, 2000 - July 19, 2004

STATE STREET RESEARCH INVESTMENT SERVICES, INC.

BD
CRD#: 17580
BOSTON, MA
Past

November 9, 1999 - March 15, 2000

JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC

BD
CRD#: 28262
BOSTON, MA
Past

August 3, 1998 - January 7, 2000

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
IAR
Series 65
Date: 1/5/2005
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/27/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6
Date: 7/31/1998
Investment Company Products/Variable Contracts Representative Examination

Current Firm

VF
VOYA FINANCIAL PARTNERS, LLC
AETNA INVESTMENT SERVICES LLC | VOYA FINANCIAL PARTNERS, LLC | ING FINANCIAL ADVISERS, LLC | AETNA INVESTMENT SERVICES, LLC | AETNA INVESTMENT SERVICES, INC.

CRD#: 34815 / SEC#: 801-57637, 8-46451

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Orange Way, C2n, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 11/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
55

FINRA licenses (53 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

VOYA FINANCIAL PARTNERS, LLC - FORM ADV PART 2A BROCHURE (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANYPARENT
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
ELMSLIE, WILLIAM PETERMANAGING DIRECTOR1970014

Disclosures

Regulatory Event7

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 FINANCIAL PARTNERS, LLC

CRD#: 34815

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