Craig J. Mesick
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.
Craig Joseph Mesick, who also goes by Craig J. Mesick, was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 2002. Craig had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 31, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2015 - September 3, 2020
VOYA FINANCIAL ADVISORS, INC.
July 9, 2015 - September 3, 2020
VOYA FINANCIAL ADVISORS, INC.
May 23, 2011 - June 29, 2015
JANNEY MONTGOMERY SCOTT LLC
May 23, 2011 - June 29, 2015
JANNEY MONTGOMERY SCOTT LLC
April 12, 2010 - May 23, 2011
PERSHING LLC
January 15, 2009 - May 23, 2011
BNY ADVISORS
March 14, 2008 - April 1, 2010
BNY MELLON SECURITIES CORPORATION
February 13, 2007 - April 5, 2010
LOCKWOOD FINANCIAL SERVICES, INC.
December 15, 2003 - March 17, 2008
PERSHING LLC
October 31, 2003 - March 27, 2008
BNY ADVISORS
October 31, 2003 - December 15, 2003
LOCKWOOD FINANCIAL SERVICES, INC.
August 9, 2002 - July 2, 2003
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
Series 7TO
Date: 3/29/2024
General Securities Representative ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
