SP
Steven W. Platt
VOYA FINANCIAL ADVISORS
Tigard, OR
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CRD#: 4508072
SP
Professional summary
Steven Weldon Platt, who also goes by Steve W Platt, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Tigard, Oregon and VOYA RETIREMENT ADVISORS, LLC located in Windsor, Connecticut.
Steven is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Steven has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve W Platt
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.
NAME OF ENTITY:VRIAC; No; ONE ORANGE WAY; WINDSOR; CT; 06095; Sale and Service of Voya HRA product.; N/A; 9/30/2022; 10; 10; Sale and Service of Voya HRA product. A Health Reimbursement Arrangement (�??HRA�?) is an employer funded �??accident or health plan�? (�??Plan�?), which reimburses qualified medical expenses and also permits any unused portion to be carried forward to the next year. Not a Security Offering.|
CRS (Client Relationship Summary) - RIA
Click below to view Steven Weldon Platt'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
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 6500 S Macadam Avenue Suite 125, Portland, OR 97239RIA
BD
CRD#: 2882
Tigard, OR
Current
May 25, 2021 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #1: One Orange Way, Windsor, CT 06095RIA
CRD#: 3989
Windsor, CT
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: 6500 S Macadam Avenue Suite 125, Portland, OR 97239RIA
BD
CRD#: 2882
Tigard, OR
Past
June 28, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
CARSON CITY, NV
Past
June 28, 2005 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
CARSON CITY, NV
Past
November 16, 2004 - June 24, 2005
ALLSTATE FINANCIAL SERVICES, LLC
BD
CRD#: 18272
LINCOLN, NE
Past
May 8, 2002 - November 5, 2004
WADDELL & REED
RIA
CRD#: 866
RENO, NV
Past
April 17, 2002 - November 5, 2004
WADDELL & REED
BD
CRD#: 866
OVERLAND PARK, KS
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 RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
Terminated by SEC on 11/29/2016
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(5/8/2017)
RR
Alaska(5/24/2021)
RR
Arizona(5/6/2014)
RR
Arkansas(12/8/2022)
RR
California(1/3/2011)
RR
Colorado(1/3/2017)
RR
Florida(1/10/2017)
RR
Hawaii(10/12/2015)
RR
Idaho(2/10/2014)
RR
Illinois(9/9/2019)
RR
Indiana(1/2/2019)
RR
Iowa(11/25/2015)
RR
Kansas(4/2/2024)
RR
Kentucky(5/1/2023)
RR
Louisiana(10/1/2024)
RR
Maine(6/1/2017)
RR
Maryland(10/1/2024)
RR
Massachusetts(5/24/2021)
RR
Michigan(9/8/2022)
RR
Mississippi(9/8/2025)
RR
Missouri(4/9/2021)
RR
Montana(1/3/2017)
RR
Nebraska(8/11/2021)
RR
Nevada(1/3/2011)
RR
New Jersey(11/1/2023)
RR
New Mexico(10/22/2019)
RR
New York(2/14/2014)
IAR
New York(10/11/2022)
RR
North Carolina(1/9/2015)
RR
Ohio(1/7/2021)
RR
Oregon(2/6/2014)
IAR
Oregon(7/7/2014)
RR
Rhode Island(6/1/2023)
RR
South Carolina(1/3/2024)
RR
South Dakota(1/9/2018)
RR
Tennessee(10/1/2024)
RR
Texas(11/2/2016)
IAR
Texas(2/14/2019)
RR
Utah(6/21/2011)
RR
Vermont(7/2/2018)
RR
Virginia(11/13/2013)
RR
Washington(2/10/2014)
RR
Wisconsin(4/5/2022)
RR
Wyoming(10/18/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
Terminated by SEC on 11/29/2016
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Contact information
Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
Phone number
(860) 580-2817
Established
New Jersey since 02/01/2000
Firm type
Limited Liability Company
Fiscal year end
December
# of Employees
116
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
