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RT

Roderick L. Toppin

VOYA FINANCIAL PARTNERS
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 4378362
RT

Professional summary

Roderick Lee Toppin, who also goes by Rod Lee Toppin, Rod Toppin, Roderick Toppin, is a registered financial professional currently at VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Roderick is registered as a RR (Registered Representative) and started their career in finance in 2001. Roderick has worked at 5 firms and has passed the Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rod Lee Toppin | Rod Toppin | Roderick Toppin

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) - BD

Click below to view Roderick Lee Toppin'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 28, 2023 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095
BD
CRD#: 34815
Windsor, CT
Past

January 20, 2021 - January 10, 2023

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
WALTHAM, MA
Past

May 1, 2014 - December 31, 2020

MML DISTRIBUTORS, LLC

BD
CRD#: 38030
SPRINGFIELD, MA
Past

July 20, 2011 - May 1, 2014

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
SPRINGFIELD, MA
Past

September 7, 2007 - July 11, 2011

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

December 18, 2002 - May 4, 2007

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
MIDDLETOWN, CT
Past

August 29, 2001 - December 17, 2002

PPI EMPLOYEE BENEFITS CORPORATION

BD
CRD#: 28970
MIDDLETOWN, CT

State Registrations and Notice Filings

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

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
Connecticut
(4/28/2023)
RR
Massachusetts
(4/28/2023)
RR
New York
(4/28/2023)

Exams

State Security Law Exam
RR
Series 63
Date: 5/18/2002
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/28/2001
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VF
VOYA FINANCIAL PARTNERS, LLC
AETNA INVESTMENT SERVICES LLC | VOYA FINANCIAL PARTNERS, LLC | ING FINANCIAL ADVISERS, LLC | AETNA INVESTMENT SERVICES, LLC | AETNA INVESTMENT SERVICES, INC.

CRD#: 34815 / SEC#: 801-57637, 8-46451

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

Main Address
One Orange Way, C2n, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 11/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
55

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

VOYA FINANCIAL PARTNERS, LLC - FORM ADV PART 2A BROCHURE (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANYPARENT
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
ELMSLIE, WILLIAM PETERMANAGING DIRECTOR1970014

Disclosures

Regulatory Event7

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.

Company Information

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815Windsor, CT 06095

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