DK
Denis P. Kelleher
VOYA RETIREMENT ADVISORS
MARSHFIELD, MA
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CRD#: 3138835
DK
Professional summary
Denis Patrick Kelleher is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Marshfield, Massachusetts and VOYA FINANCIAL PARTNERS, LLC located in Braintree, Massachusetts.
Denis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Denis has worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
1.) TOWN OF MARSHFIELD, MA- COMMUNITY PRESERVATION COMMITTEE; NO; 870 MORAINE ST, MARSHFIELD, MA; THE COMMUNITY PRESERVATION COMMITTEE REVIEWS APPLICATIONS OF TOWN PROJECTS (LIMITED SCOPE) TO DETERMINE THOSE ACCEPTABLE OF BEING PRESENTED AT TOWN MEETING FOR FUNDING; COMMITTEE MEMBER; 07/01/2018; 2HRS/MO; 0HRS/MO; THE COMMUNITY PRESERVATION COMMITTEE (CPC) REVIEWS APPLICATIONS OF PROJECTS SPECIFIC TO PRESERVING OPEN SPACE, CREATING NEW RECREATION AREAS, RESTORING HISTORIC BUILDINGS AND PLANNING FOR AFFORDABLE HOUSING TO DETERMINE THOSE ACCEPTABLE OF BEING PRESENTED AT TOWN MEETING AT WHICH TIME THE COMMUNITY VOTES TO APPROVE OR DENY FUNDING. THIS IS A VOLUNTEER, APPOINTED AND UNPAID POSITION WHICH ONLY REQUIRES 2 HOUR MONTHLY MEETING. IF I APPLY THE ULTIMATE APPOINTMENT WOULD BE APPROVED OR DENIED BY THE MARSHFIELD MA BOARD OF SELECTION. 2.) NAME OF ENTITY:Marshfield Youth Soccer; No; PO BOX 623; MARSHFIELD; MA; 2050; Soccer- Volunteer Coach; 4/9/2016; 4; 0; Coaching youth soccer for 6 year olds. 3.) Marshfield Youth Soccer BOD; No; PO BOX 623, Marshfield, MA; Volunteer position on the organization's Board of Directors; Volunteer, Position TBD; 05/2019; 4hrs/mo; 0hrs/mo; General league planning and coordination of players, volunteers and fields. 4.) Town of Marshfield- Recreation Commission; No; 870 Moraine St, Marshfield, MA; The Commission is an active board responsible to the town for providing year round high quality indoor and outdoor recreational activities for Town Residents; Committee Member; 02/01/2020; 2HRS/MO; 0HRS/MO; Coordinate recreational activity with the school department, youth groups, youth sports programs, and the senior citizens group. 5.) Marshfield High School Girls Soccer Boosters; Not investment related; 167 Forest St; Employment; Board Member and volunteer ; 0 hour per month from August to Novembre; 0 hours per month during trading hours; At Large board member. Responsibilities would be the coordination and supporting of grass root fundraising efforts and to assist in the appropriation of those funds to support the MHS Girls Soccer program .
CRS (Client Relationship Summary) - RIA
Click below to view Denis Patrick Kelleher'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
October 23, 2018 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #2: One Orange Way, Windsor, CT 06095RIA
CRD#: 3989
MARSHFIELD, MA
Current
May 15, 2018 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: 30 Braintree Hill Office Park, Braintree, MA 02184BD
CRD#: 34815
Braintree, MA
Past
May 15, 2018 - July 12, 2023
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
WINDSOR, CT
Past
March 15, 2016 - May 16, 2018
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Braintree, MA
Past
February 3, 2016 - May 16, 2018
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
BRAINTREE, MA
Past
January 1, 2001 - February 4, 2016
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
MARSHFIELD, MA
Past
September 28, 2000 - February 4, 2016
VOYA RETIREMENT ADVISORS, LLC
BD
CRD#: 3989
QUINCY, MA
Past
May 24, 2000 - September 28, 2000
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
November 5, 1998 - May 24, 2000
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC
BD
CRD#: 30107
BOSTON, MA
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
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
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.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
Connecticut(5/15/2018)
RR
Massachusetts(5/16/2018)
IAR
Massachusetts(10/23/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
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)
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 |
|---|---|---|
| 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.
