Anthony Chiu

VOYA FINANCIAL ADVISORS

Roseville, CA

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CRD#: 4514584

Professional summary

Anthony Chiu, who also goes by Tony Chiu, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Roseville, California and VOYA RETIREMENT ADVISORS, LLC located in Windsor, Connecticut.

Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Anthony has worked at 18 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Tony Chiu

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) - RIA

Click below to view Anthony Chiu'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

January 21, 2020 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Roseville, CA

Current

April 30, 2021 - Present

VOYA RETIREMENT ADVISORS, LLC

Office #1: One Orange Way, Windsor, CT 06095

RIA

CRD#: 3989

Windsor, CT

Current

January 6, 2020 - Present

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

Roseville, CA

Past

January 19, 2017 - December 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

RIA

CRD#: 19616

SAN FRANCISCO, CA

Past

January 19, 2017 - December 3, 2018

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

SAN FRANCISCO, CA

Past

April 25, 2016 - October 27, 2016

SCOTTRADE INVESTMENT MANAGEMENT

RIA

CRD#: 169988

SAINT LOUIS, MO

Past

September 21, 2015 - October 27, 2016

SCOTTRADE, INC.

CRD#: 8206

PLEASANTON, CA

Past

March 5, 2015 - September 25, 2015

BANCWEST INVESTMENT SERVICES, INC.

RIA

CRD#: 29357

FREMONT, CA

Past

March 5, 2015 - September 25, 2015

BANCWEST INVESTMENT SERVICES, INC.

CRD#: 29357

FREMONT, CA

Past

October 6, 2014 - February 19, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

SAN JOSE, CA

Past

June 30, 2014 - February 19, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

SAN JOSE, CA

Past

January 4, 2012 - January 28, 2014

HARRISDIRECT LLC

RIA

CRD#: 42159

ARLINGTON, VA

Past

January 4, 2012 - January 28, 2014

E*TRADE SECURITIES LLC

CRD#: 29106

SAN FRANCISCO, CA

Past

July 1, 2009 - January 9, 2012

U.S. BANCORP ADVISORS, LLC

RIA

CRD#: 14455

SAN FRANCISCO, CA

Past

June 30, 2009 - January 9, 2012

U.S. BANCORP ADVISORS, LLC

CRD#: 14455

SAN FRANCISCO, CA

Past

December 11, 2007 - November 19, 2008

ATEL SECURITIES CORPORATION

CRD#: 17229

SAN FRANCISCO, CA

Past

June 12, 2006 - November 5, 2007

COUNTRYWIDE INVESTMENT SERVICES, INC.

CRD#: 103919

SAN FRANCISCO, CA

Past

January 11, 2006 - June 26, 2006

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

MILLBRAE, CA

Past

January 19, 2005 - June 26, 2006

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

MILLBRAE, CA

Past

July 12, 2004 - January 18, 2005

CITICORP INVESTMENT SERVICES

RIA

CRD#: 23988

SAN FRANCISCO, CA

Past

May 14, 2004 - January 18, 2005

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

December 1, 2003 - April 12, 2004

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

SAN FRANCISCO, CA

Past

July 18, 2003 - November 5, 2003

M.L. STERN & CO., LLC.

CRD#: 8327

BEVERLY HILLS, CA

Past

April 3, 2003 - July 11, 2003

SENTRA SECURITIES CORPORATION

CRD#: 10249

PHOENIX, AZ

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

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

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.

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

California
(1/6/2020)

IAR

California
(1/21/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 7/9/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/5/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/1/2003

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

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)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

Anthony Chiu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Anthony Chiu's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA RETIREMENT ADVISORS, LLC

VOYA FINANCIAL ADVISORS, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

SCOTTRADE INVESTMENT MANAGEMENT

SCOTTRADE, INC.

BANCWEST INVESTMENT SERVICES, INC.

BANCWEST INVESTMENT SERVICES, INC.

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

HARRISDIRECT LLC

E*TRADE SECURITIES LLC

U.S. BANCORP ADVISORS, LLC

U.S. BANCORP ADVISORS, LLC

ATEL SECURITIES CORPORATION

COUNTRYWIDE INVESTMENT SERVICES, INC.

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

CITICORP INVESTMENT SERVICES

CITICORP INVESTMENT SERVICES

WELLS FARGO INVESTMENTS, LLC

M.L. STERN & CO., LLC.

SENTRA SECURITIES CORPORATION

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 7/9/2004

Series 63

Date: 5/5/2003

SIE

Date: 10/1/2018

Series 7

Date: 4/1/2003

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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