DD
Dawn K. Depner
VOYA FINANCIAL ADVISORS
PORTLAND, OR 97239
Some features on this profile are disabled
CRD#: 4318176
DD
Professional summary
Dawn Kathleen Depner, who also goes by Rosenthal, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Portland, Oregon.
Dawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Dawn has worked at 2 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rosenthal
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 5331 SW MCADAM AVE STE 365; PORTLAND; OR; 97239; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 11/23/2010; 20; 20; AGENT WORKING GROUP ANNUITY CONTRACTS AS WELL AS INDIVIDUAL ANNUITIES TO INCLUDE, LTC, FIXED INDEX ANNUITY, INDIVIDUAL FIXED ANNUITY AND INDIVIDUAL LIFE INSURANCE| NAME OF ENTITY:Depner-Lewis Financial Services; No; 5331 SW Macadam Ave; Portland; OR; 97239; OFFICE EXPENSES ONLY; Owner; 9/18/2019; 2; 2; Manage checking account and bill tenants in shared office space.| WATER TOWER FINANCIAL SERVICES, LLC POSITION: Financial Advisor / Owner NATURE: OWNER ESTABLISH AN LLC FOR BILL PAYING IN EXISTING OFFICE AND OFFERING INVESTMENT/SECURITIES TO CLIENTS INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 40 START DATE: 10/28/2010 ADDRESS: 5331 S MACADAM AVE STE 207, PORTLAND OR 97239, United States DESCRIPTION: PAYING BILLS FOR EXISTING VOYA FINANCIAL ADVISERS, LLC OFFICE. OFFERING INVESTMENT/SECURITIES TO CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Dawn Kathleen Depner's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Dawn Kathleen Depner'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
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6500 S Macadam Avenue Suite 125, Portland, OR 97239Office #2: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
PORTLAND, OR
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 6500 S Macadam Avenue Suite 125, Portland, OR 97239Office #2: 7337 E Doubletree Ranch Rd, Suite 100, Scottsdale, AZ 85258RIA
BD
CRD#: 2882
PORTLAND, OR
Past
September 22, 2003 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
PORTLAND, OR
Past
January 19, 2001 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
PORTLAND, OR
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.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
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.
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(6/11/2025)
RR
Alaska(7/14/2025)
RR
Arizona(2/17/2015)
IAR
Arizona(12/12/2024)
RR
Arkansas(7/14/2025)
RR
California(1/3/2011)
RR
Colorado(7/14/2025)
RR
Connecticut(7/14/2025)
RR
Florida(12/26/2018)
RR
Idaho(1/25/2018)
RR
Kansas(2/23/2024)
RR
North Carolina(6/11/2025)
RR
Oregon(1/3/2011)
IAR
Oregon(1/3/2011)
IAR
Texas(9/1/2020)
RR
Texas(3/15/2022)
RR
Washington(1/3/2011)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
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
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
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.
