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Denis Patrick Kelleher

VOYA RETIREMENT ADVISORS
MARSHFIELD, MA
·CRD# 3138835·28 years experience

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 Boston, 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.

At a Glance

Advisory Accounts Only

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

There are no additional aliases reported.

Blog Corner

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Videos & Posts

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Contact Information

This advisor has not claimed their profile yet, so there is no contact information to display at this time.

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

28 years in the financial services industry

Current & Past Employments

VOYA RETIREMENT ADVISORS, LLC·CRD# 3989
RIA
1. Marshfield, MA2. One Orange Way, Windsor, CT 06095
October 23, 2018 - Present
VOYA FINANCIAL PARTNERS, LLC·CRD# 34815
BD
121 Seaport Blvd 11th Floor, Boston, MA 02210
May 15, 2018 - Present
VOYA FINANCIAL PARTNERS, LLC·CRD# 34815
RIA
Windsor, CT
May 15, 2018 - July 12, 2023
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
RIA
Braintree, MA
March 15, 2016 - May 16, 2018
VOYA FINANCIAL ADVISORS, INC.·CRD# 2882
BD
Braintree, MA
February 3, 2016 - May 16, 2018
VOYA RETIREMENT ADVISORS, LLC·CRD# 3989
RIA
Marshfield, MA
January 1, 2001 - February 4, 2016
VOYA RETIREMENT ADVISORS, LLC·CRD# 3989
BD
Quincy, MA
September 28, 2000 - February 4, 2016
CITISTREET EQUITIES LLC·CRD# 7447
BD
Somerset, NJ
May 24, 2000 - September 28, 2000
STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC·CRD# 30107
BD
Boston, MA
November 5, 1998 - May 24, 2000

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Current Firm

VOYA RETIREMENT ADVISORS, LLC
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

Contact Information

Main Address

One Orange Way, Windsor, CT 06095

Phone Number

(860) 580-2817

Established

New Jersey since 02/01/2000

Firm Type

Limited Liability Company

Fiscal Year End

December

# of Employees

121

SEC notice filing (52 States and Territories)

Registered to provide investment advisory services in 52 US states and territories.

Documents

Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLCSOLE MEMBER OF APPLICANT—
GORDON, REGINA AVERYCHIEF COMPLIANCE OFFICER3173644
HULTGREN, KRISTIN HENDERSONCFO / FINOP5506534
NICHOLS, JAMES LUTHER IVMANAGING DIRECTOR5237805

Regulatory Assets Under Management

Total Number of Accounts

7,672

AUM (Assets Under Management)

$37,473,256,343

Disclosures

Regulatory Event

1

Accountant Surprise Examination Report

Filing DateForm ADV-E CoverForm ADV-E Report
01/15/2026Cover PageReport
10/18/2024Cover PageReport
01/26/2024Cover PageReport

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

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.) 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. 3.) Marshfield High School Girls Soccer Boosters; Not investment related; 167 Forest St; Employment; Board Member and volunteer ; 0 hour per month from August to November; 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 .

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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
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 securities offerings such as stocks, bonds, and mutual funds through a broker-dealer.
RR
Connecticut
(5/15/2018)
RR
Massachusetts
(5/16/2018)
IAR
Massachusetts
(10/23/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.Note:This rule does not apply to broker-dealer activity.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 65 — Uniform Investment Adviser Law Examination

Passed Jul 2000About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Feb 1999About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 2017About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Nov 1998About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Nov 2017About the Series 24 exam
FINRA
SRO Registrations

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CRS (Client Relationship Summary) - RIA

Click below to view Denis Patrick Kelleher's CRS (Customer Relationship Summary).

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