Clayton D. Cox
Professional summary
Clayton David Cox is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Omaha, Nebraska and VOYA RETIREMENT ADVISORS, LLC located in Omaha, Nebraska.
Clayton is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Clayton has worked at 10 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 26, Series 4, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Clayton David Cox's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 2, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
October 25, 2019 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #2: One Orange Way, Windsor, CT 06095September 30, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095October 24, 2019 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: One Orange Way, Windsor, CT 06095October 24, 2019 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: One Orange Way, Windsor, CT 06095October 28, 2019 - July 12, 2023
VOYA FINANCIAL PARTNERS, LLC
October 24, 2019 - December 31, 2020
SLD AMERICA EQUITIES, INC.
July 27, 2015 - September 9, 2019
BANCWEST INVESTMENT SERVICES, INC.
July 22, 2015 - September 9, 2019
BANCWEST INVESTMENT SERVICES, INC.
August 8, 2011 - July 13, 2015
TD AMERITRADE, INC.
August 5, 2011 - July 13, 2015
TD AMERITRADE, INC.
September 27, 2007 - July 26, 2011
SECURITIES AMERICA ADVISORS, INC.
July 25, 2005 - July 26, 2011
SECURITIES AMERICA, INC.
September 24, 2002 - June 27, 2005
VANGUARD MARKETING CORPORATION
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
(9/30/2019)
(10/2/2019)
Exams
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationFINRA
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.
