JB
James E. Browning
VOYA FINANCIAL ADVISORS
Columbus, OH 43235
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CRD#: 3250511
JB
Professional summary
James Edwin Browning, who also goes by Jim Browning, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Columbus, Ohio.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. James has worked at 3 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Browning
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; 545 Metro Place South, Suite 100; Dublin; OH; 43017; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/1/2009; 160; 160; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:J3, LLC; No; 545 Metro Place South, Suite 100; Dublin; OH; 43017; Financial Services; PARTNER; 6/1/2016; 4; 4; office expenses, payroll|NAME OF ENTITY:Ascent Financial Partners; Yes; 545 Metro Place South, Suite 100; Dublin; OH; 43017; financial services/dba; Partner; 10/1/2018; 160; 160; Sell and service insurance, securities and investment products|NAME OF ENTITY:POA; Yes; 189 Hawthorn Blvd; Delaware; OH; 43015; serving as financial power of attorney for my step-father; poa; 11/1/2022; 5; 0; pay bills, as needed.|NAME OF ENTITY:Delaware County Board of Elections; No; 2079 US Highway 23 North; Delaware; OH; 43015; To be a poll worker for the upcoming election day Nov 8, 2022.; Precinct Election Official; 11/8/2022; 15; 8; Assist voters with voting process: directing them to a voting machine and giving instructions on how to operate.| DELAWARE COUNTY BOARD OF ELECTIONS (OHIO) POSITION: poll worker NATURE: For presidential, state and local elections, work at a poll site for Delaware County and assist voters. INVESTMENT RELATED: No NUMBER OF HOURS: 14 SECURITIES TRADING HOURS: 10 START DATE: 11/04/2024 ADDRESS: 2079 US Highway 23 N, Suite 4, Delaware OH 43015, United States DESCRIPTION: Walk voters to a voting machine and give instructions on how to use voting machines. Job is for 14 hours in November. Some years there willbe an election in the spring and/or fall depending on local / state issues.
CRS (Client Relationship Summary) - RIA
Click below to view James Edwin Browning's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Edwin Browning'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
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7965 North High Street, Suite 150, Columbus, OH 43235RIA
BD
CRD#: 2882
Columbus, OH
Past
July 26, 2000 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
COLUMBUS, OH
Past
April 12, 2000 - September 25, 2000
AETNA FINANCIAL SERVICES, INC.
BD
CRD#: 13255
HARTFORD, CT
Past
July 7, 1999 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
COLUMBUS, OH
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
California(8/1/2025)
RR
Florida(3/4/2013)
RR
Georgia(12/2/2024)
RR
Indiana(10/9/2019)
RR
Iowa(8/1/2025)
RR
Maine(2/28/2025)
RR
North Carolina(7/14/2021)
RR
Ohio(1/3/2011)
IAR
Ohio(1/3/2011)
RR
Pennsylvania(7/27/2017)
RR
South Carolina(8/19/2021)
RR
Virginia(10/1/2024)
Exams
State Security Law Exam
General Industry/Product 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.
