Carl R. Stern

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CRD#: 435547

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.

Carl Robert Stern was a registered financial professional .

Carl is a previously registered financial professional and started their career in finance in 1969. Carl had worked at 14 firms and has passed the Series 63, Series 1 and Series 00 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

January 1, 2004 - January 9, 2013

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SOLANA BEACH, CA

Past

February 13, 2003 - January 1, 2004

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

September 17, 2001 - December 20, 2002

LIFEMARK SECURITIES CORP.

CRD#: 16204

ROCHESTER, NY

Past

March 16, 1995 - January 8, 2001

ASCENSUS SECURITIES CORP.

CRD#: 23367

MADISON, WI

Past

February 26, 1987 - May 15, 2000

CAPITAL FINANCIAL SERVICES, INC.

CRD#: 8408

MINOT, ND

Past

March 25, 1986 - April 6, 1987

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

Past

July 22, 1984 - January 30, 1986

DHC SECURITIES, INC.

CRD#: 6295

Past

August 2, 1974 - February 15, 1984

FREEMAN FINANCIAL SERVICES CORPORATION

CRD#: 6722

Past

June 18, 1973 - September 24, 1974

JAMES G. FREEMAN & ASSOCIATES, INC.

CRD#: 5457

Past

February 16, 1971 - May 12, 1971

OPPENHEIMER ASSET MANAGEMENT CORPORATION

CRD#: 386

Past

February 16, 1971 - August 9, 1973

HARTFORD VARIABLE ANNUNITY LIFE INSURANCE CO

CRD#: 1000006

Past

February 16, 1971 - October 12, 1973

ITT FAMILY SECURITY SALES CORPORATION

CRD#: 5487

Past

September 18, 1970 - March 4, 1971

CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY

CRD#: 132

Past

February 21, 1969 - March 4, 1971

CAL-WESTERN SECURITIES CO.

CRD#: 130

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

Series 63

Date: 12/27/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 2/17/1969

Registered Representative Examination

Principal/Supervisory Exam

Series 00

Date: 9/14/1970

General Securities Principal 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

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

Carl R. Stern

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

LOCUST STREET SECURITIES, INC.

LIFEMARK SECURITIES CORP.

ASCENSUS SECURITIES CORP.

CAPITAL FINANCIAL SERVICES, INC.

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

DHC SECURITIES, INC.

FREEMAN FINANCIAL SERVICES CORPORATION

JAMES G. FREEMAN & ASSOCIATES, INC.

OPPENHEIMER ASSET MANAGEMENT CORPORATION

HARTFORD VARIABLE ANNUNITY LIFE INSURANCE CO

ITT FAMILY SECURITY SALES CORPORATION

CALIFORNIA-WESTERN STATES LIFE INSURANCE COMPANY

CAL-WESTERN SECURITIES CO.

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 12/27/1988

Series 1

Date: 2/17/1969

Series 00

Date: 9/14/1970

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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