Marilyn Santos

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CRD#: 4305825

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Marilyn Santos was a registered financial professional .

Marilyn is a previously registered financial professional and started their career in finance in 2006. Marilyn had worked at 5 firms and has passed the Series 66, 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)

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

September 14, 2009 - May 2, 2016

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

WINDSOR, CT

Past

September 8, 2009 - May 2, 2016

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

Windsor, CT

Past

June 12, 2007 - May 27, 2009

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

FARMINGTON, CT

Past

January 16, 2007 - May 27, 2009

MML INVESTORS SERVICES, LLC

CRD#: 10409

FARMINGTON, CT

Past

March 8, 2006 - July 13, 2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

February 28, 2006 - March 8, 2006

ADVEST, INC.

CRD#: 10

HARTFORD, CT

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 INVESTMENT MANAGEMENT CO. 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.

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: 5/2/2006

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 5/2/2016

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 2/27/2006

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2010

General Securities Principal Examination

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

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	Cover Page	Report
11/26/2024	Cover Page	Report
10/26/2023	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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Advisor Monitoring

Firm Stability Insights

Marilyn Santos

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA INVESTMENTS DISTRIBUTOR, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

ADVEST, INC.

Primary Firm SEC Registration

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/2/2006

SIE

Date: 5/2/2016

Series 7

Date: 2/27/2006

Series 24

Date: 11/27/2010

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

TRUST BUT VERIFY

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