BH
Brian C. Houston
VOYA INVESTMENT MANAGEMENT CO. LLC
SUGAR LAND, TX 77479
Some features on this profile are disabled
CRD#: 4057941
BH
Professional summary
Brian Carl Houston is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Sugar Land, Texas and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Brian is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Brian has worked at 5 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 51 and Series 26 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.
Rental House; No; 1009 Eagle Flight Drive, Canyon Lake, TX; Rental House; Owner; 07/2022; 0hrs/mo; 0hrs/mo;
CRS (Client Relationship Summary) - RIA
Click below to view Brian Carl Houston'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
June 9, 2011 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
Office #1: 1603 Morning Shadows, Sugar Land, TX 77479RIA
CRD#: 106494
SUGAR LAND, TX
Current
June 9, 2011 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
January 1, 2010 - June 2, 2011
INVESCO ADVISERS, INC.
RIA
CRD#: 105360
ATLANTA, GA
Past
April 3, 2008 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
RIA
CRD#: 109264
HOUSTON, TX
Past
September 5, 2000 - June 2, 2011
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
HOUSTON, TX
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(6/9/2011)
RR
Alaska(6/9/2011)
IAR
Alaska(6/10/2011)
RR
Arizona(6/9/2011)
IAR
Arizona(6/23/2011)
RR
Arkansas(6/9/2011)
RR
California(6/9/2011)
RR
Colorado(6/9/2011)
RR
Connecticut(6/9/2011)
RR
Delaware(6/9/2011)
IAR
Delaware(6/10/2011)
RR
District of Columbia(6/9/2011)
IAR
District of Columbia(7/11/2011)
RR
Florida(6/9/2011)
RR
Georgia(6/9/2011)
IAR
Georgia(6/20/2011)
RR
Hawaii(6/9/2011)
RR
Idaho(6/9/2011)
RR
Illinois(6/9/2011)
IAR
Illinois(6/10/2011)
RR
Indiana(6/9/2011)
IAR
Indiana(6/10/2011)
RR
Iowa(6/9/2011)
IAR
Iowa(6/14/2011)
RR
Kansas(6/9/2011)
RR
Kentucky(6/9/2011)
IAR
Kentucky(6/10/2011)
RR
Louisiana(6/9/2011)
IAR
Louisiana(6/13/2011)
RR
Maine(6/9/2011)
IAR
Maine(6/10/2011)
RR
Maryland(6/9/2011)
RR
Massachusetts(6/9/2011)
RR
Michigan(6/9/2011)
RR
Minnesota(6/9/2011)
RR
Mississippi(6/9/2011)
RR
Missouri(6/9/2011)
RR
Montana(6/9/2011)
RR
Nebraska(6/9/2011)
RR
Nevada(6/9/2011)
IAR
Nevada(6/14/2011)
RR
New Hampshire(6/9/2011)
RR
New Jersey(6/9/2011)
RR
New Mexico(6/9/2011)
IAR
New Mexico(6/9/2011)
RR
New York(6/9/2011)
RR
North Carolina(6/9/2011)
RR
North Dakota(6/9/2011)
IAR
North Dakota(6/13/2011)
RR
Ohio(6/9/2011)
RR
Oklahoma(6/9/2011)
IAR
Oklahoma(7/15/2011)
RR
Oregon(6/9/2011)
RR
Pennsylvania(6/9/2011)
RR
Puerto Rico(6/9/2011)
RR
Rhode Island(6/9/2011)
IAR
Rhode Island(6/16/2011)
RR
South Carolina(6/9/2011)
IAR
South Carolina(6/10/2011)
RR
South Dakota(6/9/2011)
RR
Tennessee(6/9/2011)
RR
Texas(6/9/2011)
IAR
Texas(6/9/2011)
RR
Utah(6/9/2011)
RR
Vermont(6/9/2011)
RR
Virgin Islands(6/9/2011)
RR
Virginia(6/9/2011)
IAR
Virginia(6/10/2011)
RR
Washington(6/9/2011)
RR
West Virginia(6/9/2011)
RR
Wisconsin(6/9/2011)
RR
Wyoming(6/9/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral 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.
