Phillip Edwards
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.
Phillip Edwards, who also goes by Phillip T Edwards, Phillip Todd Edwards, was a registered financial professional .
Phillip is a previously registered financial professional and started their career in finance in 2002. Phillip had worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 29, 2021 - March 9, 2023
VOYA RETIREMENT ADVISORS, LLC
August 9, 2019 - March 9, 2023
VOYA FINANCIAL ADVISORS, INC.
August 8, 2019 - March 9, 2023
VOYA FINANCIAL ADVISORS, INC.
March 10, 2015 - August 1, 2019
NATIONWIDE INVESTMENT ADVISORS, LLC
February 18, 2015 - August 1, 2019
NATIONWIDE INVESTMENT SERVICES CORPORATION
January 15, 2013 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 11, 2013 - December 22, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 28, 2011 - December 17, 2012
STRATEGIC ADVISERS LLC
October 19, 2011 - December 14, 2012
FIDELITY BROKERAGE SERVICES LLC
March 8, 2011 - October 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 17, 2011 - October 4, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 25, 2007 - June 19, 2009
PRINCIPAL SECURITIES, INC.
January 4, 2007 - June 19, 2009
PRINCIPAL SECURITIES, INC.
April 9, 2003 - September 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 11, 2002 - September 11, 2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
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
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
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.
