Christopher E. Phillips

VOYA RETIREMENT ADVISORS

Woodstock, GA

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CRD#: 4188739

Professional summary

Christopher Edward Phillips, who also goes by Chris Phillips, Christopher E Phillips, Christopher Edward Phillips, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Woodstock, Georgia and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Christopher has worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Chris Phillips | Christopher E Phillips | Christopher Edward Phillips

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.

Phillips Family Investors, Inc DBA Mosquito Shield of NW Atlanta; Not investment related; 1037 Avery Creek Dr. Woodstock, GA 30188; Residential mosquito/flee/tick suppression service; Partner; 01/01/2024 ; 10 hour per month; 0 hours per month during trading hours; Co-owner of franchise with spouse. Role is non-compensated and administrative only.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward Phillips'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®

None

Experience

Current

April 2, 2024 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Woodstock, GA

Current

March 28, 2024 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095

CRD#: 34815

Windsor, CT

Past

August 8, 2022 - November 16, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

Woodstock, GA

Past

August 5, 2022 - November 16, 2023

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

March 23, 2022 - July 21, 2022

LDI-MAP LLC

RIA

CRD#: 288253

Woodstock, GA

Past

July 1, 2015 - July 7, 2021

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

WOODSTOCK, GA

Past

April 19, 2013 - June 22, 2015

CUNA BROKERAGE SERVICES, INC.

RIA

CRD#: 13941

WOODSTOCK, GA

Past

April 19, 2013 - July 7, 2021

CUNA BROKERAGE SERVICES, INC.

CRD#: 13941

WAVERLY, IA

Past

May 31, 2006 - April 5, 2013

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

TAYLORSVILLE, NC

Past

May 31, 2006 - April 5, 2013

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

HICKORY, NC

Past

September 29, 2005 - May 23, 2006

FORESIDE DISTRIBUTION SERVICES, L.P.

CRD#: 15634

PORTLAND, ME

Past

May 1, 2003 - September 20, 2005

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

HICKORY, NC

Past

May 1, 2003 - September 20, 2005

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

WINDSOR, CT

Past

June 21, 2002 - May 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

HICKORY, NC

Past

June 15, 2002 - May 8, 2003

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

Past

January 28, 2002 - June 21, 2002

WACHOVIA SECURITIES, INC.

RIA

CRD#: 431

HICKORY, NC

Past

July 20, 2000 - June 15, 2002

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

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 RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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.

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

Georgia
(3/28/2024)

IAR

Georgia
(4/2/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/12/2000

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 7/27/2000

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: 7/19/2000

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

Terminated by SEC on 11/29/2016

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Contact information

Main Address

One Orange Way, Windsor, CT 06095

Mailing Address

Phone number

(860) 580-2817

Established

New Jersey since 02/01/2000

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

116

SEC notice filing (52 States and Territories)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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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Firm Stability Insights

Christopher E. Phillips

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Edward Phillips's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

LDI-MAP LLC

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

CUNA BROKERAGE SERVICES, INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

FORESIDE DISTRIBUTION SERVICES, L.P.

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

WACHOVIA SECURITIES, INC.

WACHOVIA SECURITIES, INC.

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 8/12/2000

Series 63

Date: 7/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 7/19/2000

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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