James A. Vergas

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CRD#: 454267

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.

James Alexander Vergas, who also goes by Jim Vergas, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1974. James had worked at 12 firms and has passed the Series 63 and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Jim Vergas

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

December 20, 2007 - September 4, 2014

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

GREENVILLE, SC

Past

December 3, 2007 - September 4, 2014

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

GREENVILLE, SC

Past

October 20, 2004 - December 4, 2007

CENTAURUS FINANCIAL, INC.

RIA

CRD#: 30833

GREENVILLE, SC

Past

September 29, 1999 - December 4, 2007

CENTAURUS FINANCIAL, INC.

CRD#: 30833

GREENVILLE, SC

Past

February 15, 1999 - October 21, 1999

W.C. SMITH & COMPANY, INC.

CRD#: 36865

GREENVILLE, SC

Past

March 1, 1996 - January 5, 1999

MML INVESTORS SERVICES, LLC

CRD#: 10409

SPRINGFIELD, MA

Past

March 30, 1992 - March 1, 1996

G. R. PHELPS & CO., INC.

CRD#: 173

Past

March 8, 1991 - April 1, 1992

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

December 14, 1988 - February 21, 1991

BROOKLIGHT PLACE SECURITIES, INC.

CRD#: 15764

FOUNTAIN HILLS, AZ

Past

April 2, 1986 - October 18, 1988

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

November 15, 1981 - April 7, 1986

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

July 15, 1975 - October 29, 1981

THE VARIABLE ANNUITY MARKETING COMPANY

CRD#: 5081

Past

July 9, 1974 - September 22, 1974

AMERICAN EXPRESS FINANCIAL CORPORATION

CRD#: 6320

Past

July 9, 1974 - September 22, 1974

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Past

July 9, 1974 - September 22, 1974

IDS LIFE INSURANCE COMPANY

CRD#: 6321

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 FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

Broker-Dealer Firm Regulated by FINRA (Boston district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

Series 63

Date: 6/6/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 1

Date: 7/3/1974

Registered Representative Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

+1 (800) 356-2906

Established

Minnesota since 04/26/1968

Firm type

Corporation

Fiscal year end

December

Firm Size

Large

# of Employees

563

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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.

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Firm Stability Insights

James A. Vergas

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

CENTAURUS FINANCIAL, INC.

CENTAURUS FINANCIAL, INC.

W.C. SMITH & COMPANY, INC.

MML INVESTORS SERVICES, LLC

G. R. PHELPS & CO., INC.

VP DISTRIBUTORS LLC

BROOKLIGHT PLACE SECURITIES, INC.

MML INVESTORS SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

THE VARIABLE ANNUITY MARKETING COMPANY

AMERICAN EXPRESS FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 6/6/1984

Series 1

Date: 7/3/1974

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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