CS
Conor S. Sullivan
VOYA INVESTMENTS DISTRIBUTOR
Chicago, IL 60606
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CRD#: 4519097
CS
Professional summary
Conor Shanley Sullivan is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in Chicago, Illinois.
Conor is registered as a RR (Registered Representative) and started their career in finance in 2002. Conor has worked at 3 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 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.
CRS (Client Relationship Summary) - BD
Click below to view Conor Shanley Sullivan'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
November 3, 2011 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 South Wacker Drive, Suite 3100, Chicago, IL 60606BD
CRD#: 37886
Chicago, IL
Past
March 14, 2008 - October 5, 2011
UBS ASSET MANAGEMENT (US) INC.
BD
CRD#: 583
NEW YORK, NY
Past
May 2, 2002 - March 3, 2008
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
BD
CRD#: 7325
BOSTON, MA
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
Alabama(10/30/2017)
RR
Alaska(6/16/2017)
RR
Arizona(8/28/2018)
RR
Arkansas(8/2/2017)
RR
California(11/3/2011)
RR
Colorado(2/1/2021)
RR
Connecticut(2/1/2021)
RR
Delaware(4/28/2022)
RR
District of Columbia(11/3/2011)
RR
Florida(2/1/2021)
RR
Georgia(4/28/2022)
RR
Hawaii(4/28/2022)
RR
Idaho(11/3/2011)
RR
Illinois(11/3/2011)
RR
Indiana(11/3/2011)
RR
Iowa(8/2/2017)
RR
Kansas(11/3/2011)
RR
Kentucky(11/3/2011)
RR
Louisiana(8/2/2017)
RR
Maine(4/28/2022)
RR
Maryland(9/16/2014)
RR
Massachusetts(11/3/2011)
RR
Michigan(11/3/2011)
RR
Minnesota(11/3/2011)
RR
Mississippi(10/30/2017)
RR
Missouri(11/3/2011)
RR
Montana(4/28/2022)
RR
Nebraska(8/2/2017)
RR
Nevada(4/28/2022)
RR
New Hampshire(4/28/2022)
RR
New Jersey(4/28/2022)
RR
New Mexico(4/28/2022)
RR
New York(11/3/2011)
RR
North Carolina(2/1/2021)
RR
North Dakota(8/2/2017)
RR
Ohio(11/3/2011)
RR
Oklahoma(11/3/2011)
RR
Oregon(4/28/2022)
RR
Pennsylvania(11/3/2011)
RR
Puerto Rico(4/28/2022)
RR
Rhode Island(4/28/2022)
RR
South Carolina(4/28/2022)
RR
South Dakota(8/2/2017)
RR
Tennessee(10/30/2017)
RR
Texas(11/3/2011)
RR
Utah(4/28/2022)
RR
Vermont(4/28/2022)
RR
Virgin Islands(4/28/2022)
RR
Virginia(10/30/2017)
RR
Washington(4/28/2022)
RR
West Virginia(10/30/2017)
RR
Wisconsin(11/3/2011)
RR
Wyoming(4/28/2022)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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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)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
