Anne T. Garrity
Professional summary
Anne Theresa Garrity, who also goes by Nancy Garrity, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Walnut Creek, California and VOYA RETIREMENT ADVISORS, LLC located in Windsor, Connecticut.
Anne is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Anne has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Anne Theresa Garrity's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 21, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 1030 Nevada Street Suite 203, Redlands, CA 92374April 28, 2021 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #1: One Orange Way, Windsor, CT 06095August 19, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 1030 Nevada Street Suite 203, Redlands, CA 92374October 14, 2015 - June 5, 2019
VOYA FINANCIAL ADVISORS, INC.
February 17, 2015 - June 5, 2019
VOYA FINANCIAL ADVISORS, INC.
July 24, 2014 - August 1, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 31, 2014 - August 1, 2014
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
October 12, 2007 - August 8, 2013
CITIGROUP GLOBAL MARKETS INC.
October 20, 2004 - March 12, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 25, 2000 - October 20, 2004
QUICK & REILLY, INC.
February 4, 2000 - September 25, 2000
FIS SECURITIES, INC.
March 11, 1999 - February 7, 2000
BANKBOSTON INVESTOR SERVICES, INC.
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/19/2019)
(8/21/2019)
Exams
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
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.
