Mark A. Richardson

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CRD#: 4547131

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.

Mark Andrew Richardson was a registered financial professional .

Mark is a previously registered financial professional and started their career in finance in 2002. Mark had worked at 5 firms and has passed the Series 63, Series 6 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

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

October 3, 2011 - May 28, 2014

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989

ST. PAUL, MN

Past

August 5, 2008 - June 4, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 1, 2007 - July 25, 2008

RIVERSOURCE DISTRIBUTORS, INC.

CRD#: 139135

MINNEAPOLIS, MN

Past

August 10, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

August 10, 2004 - January 1, 2007

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

April 14, 2003 - June 3, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

Past

August 6, 2002 - March 21, 2003

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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.

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: 10/24/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 9/30/2011

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 8/5/2002

General Securities Representative Examination

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

Mark A. Richardson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

AMERIPRISE FINANCIAL SERVICES, LLC

RIVERSOURCE DISTRIBUTORS, INC.

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 10/24/2011

Series 6

Date: 9/30/2011

Series 7

Date: 8/5/2002

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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