Joanna Sammy-sasiene
Professional summary
Joanna Sammy-sasiene, who also goes by Joanna Sammy, Joanna Sammysasiene, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in League City, Texas and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.
Joanna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Joanna has worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Joanna Sammy-sasiene's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 15, 2018 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #2: One Orange Way, Windsor, CT 06095May 21, 2018 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: One Orange Way, Windsor, CT 06095May 21, 2018 - July 12, 2023
VOYA FINANCIAL PARTNERS, LLC
June 15, 2016 - May 22, 2018
VOYA FINANCIAL ADVISORS, INC.
May 11, 2016 - May 22, 2018
VOYA FINANCIAL ADVISORS, INC.
October 30, 2015 - April 15, 2016
LPL FINANCIAL LLC
October 30, 2015 - April 15, 2016
LPL FINANCIAL LLC
January 8, 2009 - December 31, 2015
AMEGY INVESTMENTS, INC.
January 8, 2009 - February 8, 2016
AMEGY INVESTMENTS, INC.
January 8, 2007 - January 6, 2009
ZIONS CAPITAL ADVISORS, INC.
April 21, 2006 - December 31, 2006
ZIONS DIRECT, INC.
April 20, 2006 - December 31, 2006
AMEGY INVESTMENTS, INC.
April 20, 2006 - May 2, 2012
ZIONS DIRECT, INC.
October 7, 2003 - April 24, 2006
NATIONWIDE SECURITIES, LLC
October 11, 2002 - November 21, 2002
STATE FARM VP MANAGEMENT CORP.
April 1, 2001 - July 18, 2002
WAMU INVESTMENTS, INC.
August 14, 2000 - April 1, 2001
BANK UNITED SECURITIES CORP.
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
(3/27/2019)
(5/24/2019)
(5/21/2018)
(3/26/2019)
(6/27/2019)
(6/21/2019)
(3/27/2019)
(9/24/2018)
(3/27/2019)
(3/28/2019)
(3/28/2019)
(3/27/2019)
(5/21/2018)
(9/15/2018)
(4/1/2019)
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.
