Charles M. Wernig

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CRD#: 4305235

Professional summary

Charles Matthew Wernig III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Charles is a previously registered financial professional and started their career in finance in 2001. Prior to being barred, Charles had worked at 6 firms, which includes VOYA FINANCIAL ADVISORS INC., KESTRA ADVISORY SERVICES LLC, KESTRA INVESTMENT SERVICES LLC, OSAIC FA INC., THE LINCOLN NATIONAL LIFE INSURANCE COMPANY, EQUITABLE ADVISORS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Chip Wernig | Charles Matthew Wernig Iii

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

June 21, 2018 - March 13, 2019

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

LAKEWOOD, CO

Past

June 20, 2018 - March 13, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

LAKEWOOD, CO

Past

April 21, 2016 - June 25, 2018

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

ENGLEWOOD, CO

Past

January 16, 2004 - June 25, 2018

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

ENGLEWOOD, CO

Past

January 14, 2004 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

ENGLEWOOD, CO

Past

May 16, 2002 - October 8, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

DENVER, CO

Past

May 16, 2002 - October 8, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

May 16, 2002 - October 13, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

January 16, 2001 - June 4, 2002

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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 FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/27/2001

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/12/2001

General Securities Representative Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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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Charles M. Wernig

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

OSAIC FA, INC.

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 1/27/2001

SIE

Date: 10/1/2018

Series 7

Date: 1/12/2001

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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