CM
Conor Moore
VOYA FINANCIAL ADVISORS
TOLLAND, CT
Some features on this profile are disabled
CRD#: 4666512
CM
Professional summary
Conor Moore, who also goes by Conor Gene Moore, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Tolland, Connecticut.
Conor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Conor has worked at 10 firms and has passed the Series 65, Series 66, Series 52TO, SIE, Series 7, Series 6, Series 4, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Conor Gene Moore
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.
CRS (Client Relationship Summary) - RIA
Click below to view Conor Moore's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Conor Moore'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®
NoneExperience
Current
October 31, 2022 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
TOLLAND, CT
Current
October 31, 2022 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
November 30, 2021 - October 14, 2022
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
TOLLAND, CT
Past
November 29, 2021 - October 14, 2022
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
February 29, 2016 - November 15, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WINDSOR, CT
Past
February 3, 2016 - November 15, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
May 19, 2015 - January 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
BOSTON, MA
Past
May 12, 2015 - January 19, 2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
BOSTON, MA
Past
March 14, 2014 - April 30, 2015
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
WELLESLEY, MA
Past
December 6, 2012 - March 14, 2014
INVESTORS CAPITAL CORP.
BD
CRD#: 30613
LYNNFIELD, MA
Past
June 5, 2007 - December 6, 2012
STIFEL, NICOLAUS & COMPANY, INCORPORATED
BD
CRD#: 793
LONGMEADOW, MA
Past
May 1, 2006 - June 5, 2007
RYAN BECK & CO.
BD
CRD#: 3248
LONGMEADOW, MA
Past
July 8, 2004 - September 28, 2005
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
SPRINGFIELD, MA
Past
June 23, 2003 - July 12, 2004
MML DISTRIBUTORS, LLC
BD
CRD#: 38030
SPRINGFIELD, MA
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.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
RR
Alabama(11/2/2022)
RR
Alaska(10/31/2022)
RR
Arizona(10/31/2022)
RR
Arkansas(10/31/2022)
RR
California(10/31/2022)
RR
Colorado(10/31/2022)
RR
Connecticut(10/31/2022)
IAR
Connecticut(10/31/2022)
RR
Delaware(11/9/2022)
RR
District of Columbia(10/31/2022)
RR
Florida(10/31/2022)
RR
Georgia(10/31/2022)
RR
Hawaii(10/31/2022)
RR
Idaho(10/31/2022)
RR
Illinois(11/16/2022)
RR
Indiana(10/31/2022)
RR
Iowa(10/31/2022)
RR
Kansas(10/31/2022)
RR
Kentucky(10/31/2022)
RR
Louisiana(10/31/2022)
RR
Maine(10/31/2022)
RR
Maryland(10/31/2022)
RR
Massachusetts(11/1/2022)
RR
Michigan(10/31/2022)
RR
Minnesota(10/31/2022)
RR
Mississippi(10/31/2022)
RR
Missouri(10/31/2022)
RR
Montana(10/31/2022)
RR
Nebraska(10/31/2022)
RR
Nevada(10/31/2022)
RR
New Hampshire(10/31/2022)
RR
New Jersey(10/31/2022)
RR
New Mexico(10/31/2022)
RR
New York(10/31/2022)
IAR
New York(11/9/2022)
RR
North Carolina(10/31/2022)
RR
North Dakota(10/31/2022)
RR
Ohio(10/31/2022)
RR
Oklahoma(10/31/2022)
RR
Oregon(10/31/2022)
RR
Pennsylvania(10/31/2022)
RR
Puerto Rico(10/31/2022)
RR
Rhode Island(10/31/2022)
RR
South Carolina(10/31/2022)
RR
South Dakota(10/31/2022)
RR
Tennessee(11/8/2022)
RR
Texas(10/31/2022)
IAR
Texas(11/14/2022)
RR
Utah(10/31/2022)
RR
Vermont(10/31/2022)
RR
Virgin Islands(11/4/2022)
RR
Virginia(10/31/2022)
RR
Washington(10/31/2022)
RR
West Virginia(10/31/2022)
RR
Wisconsin(10/31/2022)
RR
Wyoming(10/31/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA FINANCIAL ADVISORS, INC.
ING FINANCIAL PARTNERS, INC | WASHINGTON SQUARE SECURITIES, INC. | VOYA FINANCIAL ADVISORS, INC. | VARIABLE LIFE BROKERAGE DISTRIBUTORS | NWNL MANAGEMENT CORPORATION | ING FINANCIAL PARTNERS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
RIA
Registered Investment Advisory firm - SEC (7/11/1994 Approved)BD
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
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.
