KW
Keith Williams
VOYA FINANCIAL ADVISORS
Windsor, CT 06095
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CRD#: 3152085
KW
Professional summary
Keith Williams is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Keith is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Keith has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; ONE ORANGE WAY; WINDSOR; CT; 6095; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 8/3/2012; 5; 5; SALES OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:KEITH WILLIAMS-RENTAL PROPERTY; No; 47-49 BENEFIT ST; AITLEBORO; MA; 2703; RENTAL PROPERTIES (3); OWNER; 6/1/2001; 3; 0; MAINTAIN AND RENT PROPERTY| IN HOME FOSTER CARE POSITION: Foster Care Provider NATURE: Provide foster care services for adolescents through the Department of Child & Family Services INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 0 START DATE: 08/01/2023 ADDRESS: 28 Glen Road, Granby CT 06035, United States DESCRIPTION: Foster Care functions; Provide Housing and basic needs associated with Foster Care Standards
CRS (Client Relationship Summary) - RIA
Click below to view Keith Williams's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Keith Williams'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
August 20, 2012 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Current
August 3, 2012 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way B1s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
May 2, 2008 - August 9, 2012
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
NASHUA, NH
Past
February 26, 2008 - August 9, 2012
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
NASHUA, NH
Past
December 6, 2005 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
NEW YORK, NY
Past
December 6, 2005 - February 28, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SPRINGFIELD, MA
Past
May 20, 2004 - December 31, 2005
CITISTREET EQUITIES LLC
BD
CRD#: 7447
SOMERSET, NJ
Past
June 7, 1999 - May 10, 2004
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
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
Connecticut(8/3/2012)
IAR
Connecticut(8/20/2012)
RR
Florida(6/4/2015)
RR
Maryland(1/26/2024)
RR
Massachusetts(8/3/2012)
RR
New York(3/8/2019)
IAR
New York(10/11/2022)
RR
North Carolina(8/23/2024)
RR
Vermont(9/18/2024)
RR
Washington(9/18/2024)
Exams
State Security Law Exam
State Security Law 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.
