Steven A. Griffiths
Professional summary
Steven A Griffiths is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in Austin, Texas.
Steven is registered as a RR (Registered Representative) and started their career in finance in 2000. Steven has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Steven A Griffiths's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 7000 North Mopac Expressway Suite 200, Austin, TX 78731April 12, 2001 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
August 30, 2000 - February 23, 2001
JANUS HENDERSON DISTRIBUTORS US LLC
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
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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