RB
Randal B. Barton
VOYA INVESTMENT MANAGEMENT CO. LLC
Vineyard, UT
Some features on this profile are disabled
CRD#: 3200217
RB
Professional summary
Randal Bruce Barton, CIMA® is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Vineyard, Utah and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Randal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Randal has worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 51 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) The Church of Jesus Christ of Latter-day Saints-Orchard Ward; Not investment related; 828 South Locust Avenue Pleasant Grove, UT 84062; Volunteer; 01/24/2012 ; 8 hour per month; 0 hours per month during trading hours; volunteer positions within the church. 2 )RIRA LLC; Investment related; 57 W Zinfandel Ln, Vineyard, UT 84059; LLC for investment holdings; Co-Owner/Agent; 11/09/2018; 0 hour per month; 0 hours per month during trading hours; Wife's LLC and she is the owner/manager of the LLC. 3)NSD LLC/Located at: 5899 Green Oaks Drive, Greenwood Village, CO 80121/START DATE; NOVEMBER 2018/SOLE PROPRIETOR FOR INVESTING IN REAL ESTATE AND OTHER BUSINESS OPPORTUNITIES/1 HOUR DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 4)19498 E.SUNSET CIRCLE LLC/SOLE PROPRIETOR FOR INVESTING IN REAL ESTATE/LOCATED IN CENTENNIAL,CO/START DATE: FEBRURY 2020/APPROXIMATELY 1 HOUR DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 5)OWNER/FEEDER/5899 Green Oaks Drive, Greenwood Village, CO 80121/RENTAL PROPERTY/APPROXIMATELY 1 HOUR DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 6) 461 S.YORK STREET, LLC/SOLE PROPRIETOR AND MANAGER/LOCATED IN GREENWOOD VILLAGE, CO/BUILDING SPEC HOMES FOR SALE/START DATE AUGUST 2020/APPROXIMATELY 1 HOUR MONTHLY DEVOTED TO THIS OTHER BUSINESS DURING NON-BUSINESS HOURS 7)11687 W. 45th Place, LLC/LOCATED AT:11687 W. 45th Place, Wheat Ridge, CO 80033/START DATE; DEC.2020-JAN. 2021/SOLE PROPRIETOR FOR INVESTING IN REAL ESTATE AND OTHER BUSINESS OPPORTUNITIES/1 HOUR DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 8) HURON AL, LLC/NON-INVESTMENT RELATED/5899 GREEN OAKS DRIVE, GREENWOOD VILLAGE, CO,80121/ASSISTED LIVING/SOLE PROPRIETOR/APRIL 2021/APPROXIMATELY 1 HOUR PER MONTH DEVOTED TO THIS OTHER BUSINESS/ 0 HOURS DURING SECURITY TRADING HOURS 9) PG Evergreen Properties, LLC; Investment related; 57 W Zinfandel Ln, Vineyard, UT 84059; OBA name/ short descript if provided; Owner/Manager; 04/09/2025 ; 4 hour per month; 0 hours per month during trading hours; LLC in use to consolidate current LLC structures and rental properties. 10) PG APC, LLC; 5899 GREEN OAKS DRIVENON-INVESTMENT RELATED; GREENWOOD VILLAGE, CO 80121; INVEST IN REAL ESTATE PROJECTS; SOLE PROPRIETOR; 09/21/2022; 1HR/MO; 0HRS/MO;
CRS (Client Relationship Summary) - RIA
Click below to view Randal Bruce Barton'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®
Experience
Current
April 16, 2008 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
Vineyard, UT
Current
June 5, 2007 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
April 20, 2007 - May 30, 2007
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
BD
CRD#: 21570
SHELTON, CT
Past
October 6, 2004 - April 18, 2007
OLD MUTUAL INVESTMENT PARTNERS
BD
CRD#: 44916
DENVER, CO
Past
December 5, 2000 - September 27, 2004
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
March 22, 1999 - December 12, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)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
Alabama(1/11/2011)
IAR
Alabama(4/29/2015)
RR
Alaska(6/5/2007)
IAR
Alaska(4/22/2008)
RR
Arizona(7/16/2009)
IAR
Arizona(7/20/2009)
RR
Arkansas(1/11/2011)
IAR
Arkansas(9/29/2014)
RR
California(6/5/2007)
IAR
California(4/22/2008)
RR
Colorado(6/5/2007)
IAR
Colorado(4/16/2008)
RR
Connecticut(1/11/2011)
IAR
Connecticut(4/27/2015)
RR
Delaware(1/11/2011)
IAR
Delaware(1/24/2011)
RR
District of Columbia(1/11/2011)
IAR
District of Columbia(7/11/2011)
RR
Florida(9/9/2010)
IAR
Florida(1/27/2011)
RR
Georgia(1/11/2011)
IAR
Georgia(1/13/2011)
RR
Hawaii(7/16/2009)
IAR
Hawaii(9/26/2014)
RR
Idaho(6/5/2007)
IAR
Idaho(4/22/2008)
RR
Illinois(6/5/2007)
IAR
Illinois(4/22/2008)
RR
Indiana(6/5/2007)
IAR
Indiana(4/22/2008)
RR
Iowa(7/16/2009)
IAR
Iowa(1/21/2011)
RR
Kansas(5/21/2010)
IAR
Kansas(5/21/2010)
RR
Kentucky(3/20/2008)
IAR
Kentucky(4/22/2008)
RR
Louisiana(1/11/2011)
IAR
Louisiana(1/21/2011)
RR
Maine(1/11/2011)
IAR
Maine(1/11/2011)
RR
Maryland(1/11/2011)
IAR
Maryland(4/27/2015)
RR
Massachusetts(1/11/2011)
IAR
Massachusetts(5/20/2015)
RR
Michigan(11/3/2008)
IAR
Michigan(11/7/2014)
RR
Minnesota(7/16/2009)
IAR
Minnesota(10/1/2014)
RR
Mississippi(1/11/2011)
IAR
Mississippi(5/6/2015)
RR
Missouri(5/21/2010)
IAR
Missouri(5/21/2010)
RR
Montana(6/5/2007)
IAR
Montana(4/23/2008)
RR
Nebraska(5/21/2010)
IAR
Nebraska(5/28/2010)
RR
Nevada(7/16/2009)
IAR
Nevada(5/21/2010)
RR
New Hampshire(1/11/2011)
IAR
New Hampshire(4/28/2015)
RR
New Jersey(1/11/2011)
IAR
New Jersey(11/10/2014)
RR
New Mexico(7/16/2009)
IAR
New Mexico(5/24/2010)
RR
New York(1/11/2011)
RR
North Carolina(1/12/2011)
IAR
North Carolina(4/30/2015)
RR
North Dakota(7/16/2009)
IAR
North Dakota(6/1/2010)
RR
Ohio(2/6/2009)
IAR
Ohio(2/6/2009)
RR
Oklahoma(5/21/2010)
IAR
Oklahoma(5/21/2010)
RR
Oregon(6/5/2007)
IAR
Oregon(5/23/2008)
RR
Pennsylvania(1/11/2011)
IAR
Pennsylvania(11/7/2014)
RR
Puerto Rico(1/11/2011)
IAR
Puerto Rico(5/5/2015)
RR
Rhode Island(1/11/2011)
IAR
Rhode Island(1/19/2011)
RR
South Carolina(1/11/2011)
IAR
South Carolina(1/14/2011)
RR
South Dakota(7/16/2009)
IAR
South Dakota(9/30/2014)
RR
Tennessee(1/11/2011)
RR
Texas(5/21/2010)
IAR
Texas(5/21/2010)
RR
Utah(6/5/2007)
IAR
Utah(4/22/2008)
RR
Vermont(1/11/2011)
IAR
Vermont(4/29/2015)
RR
Virgin Islands(1/11/2011)
RR
Virginia(1/11/2011)
IAR
Virginia(1/12/2011)
RR
Washington(6/5/2007)
IAR
Washington(4/22/2008)
RR
West Virginia(1/11/2011)
IAR
West Virginia(9/30/2014)
RR
Wisconsin(1/9/2009)
IAR
Wisconsin(1/9/2009)
RR
Wyoming(6/5/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
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Contact information
Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
