MT
Michael L. Theis
VOYA INVESTMENT MANAGEMENT CO. LLC
Spokane, WA
Some features on this profile are disabled
CRD#: 4441706
MT
Professional summary
Michael Lawrence Theis III is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Spokane, Washington and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Michael has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
OWN A BUILDING IN HARRISBURG, PA. (RENTAL) RECEIVE RENTAL INCOME. 1HR PER MONTH - NOT DURING BUSINESS HRS.
04-15-2015 - SEATTLE, WA 98136 - OWN HOME/RENTAL PROPERTY - RENTAL INCOME - 0HRS PER MONTH- 0HRS PER TRADING HOURS.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Lawrence Theis III'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
May 20, 2022 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
Spokane, WA
Current
May 20, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
January 12, 2007 - February 11, 2022
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
SEATTLE, WA
Past
January 3, 2006 - December 31, 2006
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
SEATTLE, WA
Past
March 15, 2005 - December 31, 2005
BNY MELLON SECURITIES CORPORATION
RIA
CRD#: 231
SEATTLE, WA
Past
March 11, 2005 - February 11, 2022
BNY MELLON SECURITIES CORPORATION
BD
CRD#: 231
NEW YORK, NY
Past
September 25, 2003 - March 7, 2005
ALLIANCEBERNSTEIN INVESTMENTS, INC.
BD
CRD#: 14549
NASHVILLE, TN
Past
September 27, 2001 - November 13, 2002
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
September 27, 2001 - November 13, 2002
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP 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.
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(5/20/2022)
RR
Alaska(5/20/2022)
RR
Arizona(5/20/2022)
IAR
Arizona(5/31/2022)
RR
Arkansas(5/20/2022)
IAR
Arkansas(5/23/2022)
RR
California(5/20/2022)
RR
Colorado(5/20/2022)
RR
Connecticut(5/20/2022)
RR
Delaware(5/20/2022)
IAR
Delaware(5/23/2022)
RR
District of Columbia(5/20/2022)
IAR
District of Columbia(4/4/2023)
RR
Florida(5/20/2022)
RR
Georgia(5/20/2022)
IAR
Georgia(5/31/2022)
RR
Hawaii(5/20/2022)
RR
Idaho(5/20/2022)
RR
Illinois(5/20/2022)
IAR
Illinois(5/23/2022)
RR
Indiana(5/20/2022)
IAR
Indiana(5/23/2022)
RR
Iowa(5/20/2022)
RR
Kansas(5/20/2022)
RR
Kentucky(5/20/2022)
IAR
Kentucky(5/23/2022)
RR
Louisiana(5/20/2022)
IAR
Louisiana(5/23/2022)
RR
Maine(5/20/2022)
IAR
Maine(5/23/2022)
RR
Maryland(5/20/2022)
RR
Massachusetts(5/20/2022)
RR
Michigan(5/20/2022)
RR
Minnesota(5/20/2022)
RR
Mississippi(5/20/2022)
RR
Missouri(5/20/2022)
RR
Montana(5/20/2022)
RR
Nebraska(5/20/2022)
RR
Nevada(5/20/2022)
RR
New Hampshire(5/20/2022)
RR
New Jersey(5/20/2022)
RR
New Mexico(5/20/2022)
IAR
New Mexico(5/23/2022)
RR
New York(5/20/2022)
RR
North Carolina(5/20/2022)
RR
North Dakota(5/20/2022)
IAR
North Dakota(5/23/2022)
RR
Ohio(5/22/2022)
RR
Oklahoma(5/20/2022)
IAR
Oklahoma(6/2/2022)
RR
Oregon(5/20/2022)
RR
Pennsylvania(5/20/2022)
RR
Puerto Rico(5/20/2022)
RR
Rhode Island(5/20/2022)
IAR
Rhode Island(5/23/2022)
RR
South Carolina(5/20/2022)
IAR
South Carolina(5/24/2022)
RR
South Dakota(5/20/2022)
RR
Tennessee(6/7/2022)
RR
Texas(5/20/2022)
IAR
Texas(5/24/2022)
RR
Utah(5/20/2022)
RR
Vermont(5/20/2022)
RR
Virgin Islands(5/20/2022)
RR
Virginia(5/20/2022)
IAR
Virginia(5/23/2022)
RR
Washington(5/20/2022)
IAR
Washington(5/20/2022)
RR
West Virginia(5/20/2022)
RR
Wisconsin(5/20/2022)
RR
Wyoming(5/20/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
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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)
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 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
