Tiffani A. Potesta

VOYA INVESTMENTS DISTRIBUTOR

Windsor, CT 06095

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CRD#: 4042592

Professional summary

Tiffani Anne Potesta is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Windsor, Connecticut.

Tiffani is registered as a RR (Registered Representative) and started their career in finance in 1999. Tiffani has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tiffani Anne Potesta's CRS (Customer Relationship Summary).

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®

None

Experience

Current

July 30, 2024 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: One Orange Way, Windsor, CT 06095Office #2: 200 Park Avenue, New York, NY 10169Office #3: 200 Park Avenue, New York, NY 10169

CRD#: 37886

Windsor, CT

Past

August 9, 2012 - May 30, 2024

SCHRODER FUND ADVISORS LLC

CRD#: 24129

NEW YORK, NY

Past

April 1, 2011 - April 11, 2012

DWS DISTRIBUTORS, INC.

CRD#: 37306

NEW YORK, NY

Past

December 17, 2008 - February 22, 2011

FEF DISTRIBUTORS, LLC

CRD#: 46585

NEW YORK, NY

Past

March 1, 2007 - August 17, 2007

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

Past

March 1, 2007 - December 2, 2008

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

February 24, 2003 - September 13, 2004

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

RIA

CRD#: 108057

STAMFORD, CT

Past

November 7, 2000 - May 30, 2006

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

CRD#: 25567

NEW YORK, NY

Past

October 15, 1999 - October 31, 2000

PRIME CAPITAL SERVICES, INC.

CRD#: 18334

POUGHKEEPSIE, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

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

Alabama
(7/30/2024)

Alaska
(7/30/2024)

Arizona
(7/30/2024)

Arkansas
(7/30/2024)

California
(7/30/2024)

Colorado
(7/30/2024)

Connecticut
(7/30/2024)

Delaware
(7/30/2024)

District of Columbia
(7/30/2024)

Florida
(7/30/2024)

Georgia
(7/30/2024)

Hawaii
(7/30/2024)

Idaho
(7/30/2024)

Illinois
(7/30/2024)

Indiana
(7/30/2024)

Iowa
(7/30/2024)

Kansas
(7/30/2024)

Kentucky
(7/30/2024)

Louisiana
(7/30/2024)

Maine
(7/30/2024)

Maryland
(7/30/2024)

Massachusetts
(7/30/2024)

Michigan
(7/30/2024)

Minnesota
(7/30/2024)

Mississippi
(7/30/2024)

Missouri
(7/30/2024)

Montana
(7/30/2024)

Nebraska
(7/30/2024)

Nevada
(7/30/2024)

New Hampshire
(7/30/2024)

New Jersey
(7/30/2024)

New Mexico
(7/30/2024)

New York
(7/30/2024)

North Carolina
(7/30/2024)

North Dakota
(7/30/2024)

Ohio
(7/31/2024)

Oklahoma
(7/30/2024)

Oregon
(7/30/2024)

Pennsylvania
(7/30/2024)

Puerto Rico
(7/30/2024)

Rhode Island
(7/30/2024)

South Carolina
(7/30/2024)

South Dakota
(7/30/2024)

Tennessee
(7/30/2024)

Texas
(7/30/2024)

Utah
(7/30/2024)

Vermont
(7/30/2024)

Virgin Islands
(7/30/2024)

Virginia
(7/30/2024)

Washington
(7/30/2024)

West Virginia
(7/30/2024)

Wisconsin
(7/30/2024)

Wyoming
(7/30/2024)

Exams

State Security Law Exam

IAR

Series 65

Date: 9/19/2001

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/28/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/14/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

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

(860) 275-2110

Established

Delaware since 10/01/2002

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

Name	Position	CRD#
VOYA FUNDS SERVICES, LLC	SOLE SHAREHOLDER
EASTON, STEPHEN JOSEPH	CHIEF COMPLIANCE OFFICER	3150168
POTESTA, TIFFANI ANNE	CEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION	4042592
WILLINGHAM, CATRINA	FINANCIAL OPERATIONS PRINCIPAL	7025979

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Tiffani A. Potesta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tiffani Anne Potesta's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHRODER FUND ADVISORS LLC

DWS DISTRIBUTORS, INC.

FEF DISTRIBUTORS, LLC

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

PRIME CAPITAL SERVICES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 9/19/2001

Series 63

Date: 10/28/1999

SIE

Date: 10/1/2018

Series 7

Date: 10/14/1999

Series 24

Date: 9/27/2000

FINRA

Current Firm

VOYA INVESTMENTS DISTRIBUTOR, LLC

Contact information

FINRA licenses (53 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

TRUST BUT VERIFY

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