RS
Richard R. Schneider
VOYA FINANCIAL ADVISORS
Des Moines, IA 50309
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CRD#: 3132898
RS
Professional summary
Richard Raymond Schneider, who also goes by Richard R Schneider, Rick Schneider, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Des Moines, Iowa.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard R Schneider | Rick Schneider
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.
INDEPENDENT INSURANCE AGENT POSITION: INDEPENDENT INSURANCE AGENT NATURE: FIXED INSURANCE SALES INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 07/24/2015 ADDRESS: 699 Walnut St. Suite 1325, Des Moines IA 50309, United States DESCRIPTION: SALE OF FIXED INSURANCE PRODUCTS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Raymond Schneider's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Raymond Schneider'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
November 10, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 699 Walnut St Ste 1325, Des Moines, IA 50309RIA
BD
CRD#: 2882
Des Moines, IA
Current
July 24, 2015 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 699 Walnut St Ste 1325, Des Moines, IA 50309RIA
BD
CRD#: 2882
Des Moines, IA
Past
January 7, 2009 - July 15, 2015
MISSIONSQUARE RETIREMENT
RIA
CRD#: 108783
WASHINGTON, DC
Past
May 8, 2006 - July 15, 2015
MISSIONSQUARE INVESTMENT SERVICES
BD
CRD#: 23189
LIBERTYVILLE, IL
Past
September 8, 2004 - March 3, 2006
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
Past
March 2, 2000 - October 10, 2003
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HOUSTON, TX
Past
October 23, 1998 - December 31, 2001
THE VARIABLE ANNUITY MARKETING COMPANY
BD
CRD#: 5081
HOUSTON, TX
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 FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
Iowa(7/29/2015)
IAR
Iowa(11/10/2015)
RR
South Carolina(8/8/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)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
+1 (800) 356-2906
Established
Minnesota since 04/26/1968
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees
563
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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 ADVISORS, INC.
CRD#: 2882Des Moines, IA 50309TRUST BUT VERIFY
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