Katherine M. Casillas
Professional summary
Katherine Marie Casillas, who also goes by Katherine Marie Kriechbaum, is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in West Des Moines, Iowa.
Katherine is registered as a RR (Registered Representative) and started their career in finance in 2000. Katherine has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Katherine Marie Casillas's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 12, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
November 1, 2001 - October 5, 2023
RAYMOND JAMES FINANCIAL SERVICES, INC.
March 7, 2001 - October 2, 2001
CITIGROUP GLOBAL MARKETS INC.
January 2, 2000 - March 1, 2001
RAYMOND JAMES FINANCIAL SERVICES, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(8/12/2024)
Exams
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
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
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