John H. Thames
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.
John Howard Thames was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1970. John had worked at 9 firms and has passed the SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 28, 2015 - December 31, 2017
VOYA FINANCIAL ADVISORS, INC.
January 28, 2008 - December 31, 2013
VOYA FINANCIAL ADVISORS, INC.
February 7, 2006 - December 31, 2007
THE O.N. EQUITY SALES COMPANY
January 5, 2004 - January 18, 2006
ADVANTAGE CAPITAL CORPORATION
October 1, 1997 - December 31, 2003
OSAIC FS, INC.
September 29, 1983 - October 1, 1997
LINCOLN FINANCIAL INVESTMENT SERVICES CORPORATION
May 1, 1979 - November 1, 1983
USLIFE EQUITY SALES CORP.
December 1, 1973 - May 1, 1979
LINCOLN EQUITIES CORPORATION
June 13, 1972 - February 26, 1974
CONSOLIDATED PROGRAMS, INC.
February 24, 1972 - July 29, 1972
THE INVESTAMERICA GROUP INC.
April 14, 1970 - April 8, 1972
CONSOLIDATED PROGRAMS, INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 4/7/1970
Registered Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
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.
