Michael A. Heroux

VOYA RETIREMENT ADVISORS

Simsbury, CT

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CRD#: 4588935

Professional summary

Michael Aaron Heroux, who also goes by Michael A Heroux, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Simsbury, Connecticut and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Michael has worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael A Heroux

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.

1. 1/29/2018 - RGB Financial - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Started 01/22/2018 - 160 Hours Per Month/8 Hours During Securities Trading - Time Spent 100%. 2. 5/24/2018 - RGB Tax Services - Not Investment Related - At Reported Business Location(s) - Tax Prep/Accounting/CPA - Start Date:05/09/2018 - 1 Hour Per Month/0 Hours During Trading - Tax data entry.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Aaron Heroux'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®

None

Experience

Current

July 12, 2023 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Simsbury, CT

Current

January 26, 2023 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095

CRD#: 34815

Windsor, CT

Past

January 26, 2023 - July 19, 2023

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WINDSOR, CT

Past

January 29, 2018 - October 25, 2022

LPL FINANCIAL LLC

RIA

CRD#: 6413

FARMINGTON, CT

Past

January 29, 2018 - October 25, 2022

LPL FINANCIAL LLC

CRD#: 6413

FARMINGTON, CT

Past

December 12, 2014 - April 26, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

TRUMBULL, CT

Past

December 12, 2014 - April 26, 2016

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

TRUMBULL, CT

Past

May 15, 2012 - July 1, 2013

OSAIC INSTITUTIONS, INC.

RIA

CRD#: 35371

WATERTOWN, CT

Past

May 15, 2012 - July 1, 2013

OSAIC INSTITUTIONS, INC.

CRD#: 35371

WATERTOWN, CT

Past

January 28, 2008 - June 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

SOUTHBURY, CT

Past

October 15, 2007 - June 4, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

SOUTHBURY, CT

Past

October 6, 2002 - May 14, 2003

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

Connecticut
(1/26/2023)

IAR

Connecticut
(7/12/2023)

Iowa
(8/2/2024)

Maine
(8/2/2024)

Massachusetts
(1/26/2023)

New Hampshire
(8/2/2024)

New York
(1/26/2023)

Rhode Island
(8/2/2024)

Vermont
(4/4/2023)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 1/24/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/12/2007

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 10/3/2002

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

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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Firm Stability Insights

Michael A. Heroux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Aaron Heroux's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

OSAIC INSTITUTIONS, INC.

OSAIC INSTITUTIONS, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

VOYA FINANCIAL PARTNERS, LLC

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/24/2008

SIE

Date: 10/1/2018

Series 7

Date: 10/12/2007

Series 6

Date: 10/3/2002

FINRA

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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