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CC

Christine M. Charno

VOYA INVESTMENTS DISTRIBUTOR
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 4455849
CC

Professional summary

Christine Marie Charno is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Windsor, Connecticut.

Christine is registered as a RR (Registered Representative) and started their career in finance in 2002. Christine has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

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) - BD

Click below to view Christine Marie Charno's CRS (Customer Relationship Summary).
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

October 20, 2014 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: One Orange Way, Windsor, CT 06095
BD
CRD#: 37886
Windsor, CT
Past

October 21, 2014 - December 10, 2025

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

February 2, 2011 - October 21, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
NEW YORK, NY
Past

January 8, 2008 - December 31, 2008

UBS ASSET MANAGEMENT (US) INC.

RIA
CRD#: 583
STAMFORD, CT
Past

September 25, 2006 - February 12, 2009

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
STAMFORD, CT
Past

July 30, 2002 - July 29, 2004

UBS ASSET MANAGEMENT (US) INC.

BD
CRD#: 583
NEW YORK, NY

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
California
(5/5/2016)
RR
Connecticut
(10/20/2014)
RR
Delaware
(5/5/2016)
RR
Florida
(5/5/2016)
RR
Georgia
(5/5/2016)
RR
Louisiana
(5/5/2016)
RR
Maryland
(5/5/2016)
RR
Massachusetts
(5/5/2016)
RR
Missouri
(5/5/2016)
RR
Nebraska
(6/4/2018)
RR
New Jersey
(5/5/2016)
RR
New York
(10/20/2014)
RR
Ohio
(5/5/2016)
RR
Pennsylvania
(5/5/2016)
RR
Texas
(5/5/2016)
RR
Washington
(5/5/2016)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 12/15/2006
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/2002
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.
Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.
Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

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

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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 INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886Windsor, CT 06095

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