Henry E. Zoller

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CRD#: 4679829

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.

Henry Eugene Zoller, who also goes by Hank Zoller, Henry E Zoller IV, Henry Eugene Zoller Iv, was a registered financial professional .

Henry is a previously registered financial professional and started their career in finance in 2004. Henry had worked at 5 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Hank Zoller | Henry E Zoller Iv | Henry Eugene Zoller Iv

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.) Foxen Canyon Home Owners Association; Not investment related; DC Capital HOA Management 1804 Williamson CT, #108 Franklin, TN 37027; Board of Directors - Treasurer; 02/01/2024; 1 hour per month; 0 hours per month during trading hours; Partner, no activities or duties, oversight of DCCHOAMS. 2.) Zoller Enterprises LLC; Not investment related; PO Box 358 Hoisington, KS 67544; Oil and gas leases production, royalties; Owner; 05/15/1981 ; 1 hour per month; 0 hours per month during trading hours; Partner, no activities or duties. 3.) Zoller Heirs LLC; Not investment related; PO Box 358 Hoisington, KS 67544; Oil and gas leases production, royalties; Owner; 05/15/1981 ; 1 hour per month; 0 hours per month during trading hours; Partner, no activities or duties.

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

February 27, 2025 - August 21, 2025

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Franklin, TN

Past

January 16, 2025 - August 21, 2025

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

April 23, 2020 - February 8, 2025

ONEAMERICA SECURITIES, INC.

RIA

CRD#: 4173

Franklin, TN

Past

April 23, 2020 - January 16, 2025

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

June 17, 2011 - December 6, 2019

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Austin, TX

Past

June 14, 2011 - December 6, 2019

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Austin, TX

Past

October 11, 2004 - April 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

FRANKLIN, TN

Past

April 15, 2004 - April 6, 2011

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

FRANKLIN, TN

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

IAR

Series 66

Date: 10/8/2004

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: 4/14/2004

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/31/2005

General Securities Principal 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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Firm Stability Insights

Henry E. Zoller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

ONEAMERICA SECURITIES, INC.

ONEAMERICA SECURITIES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 10/8/2004

SIE

Date: 10/1/2018

Series 7

Date: 4/14/2004

Series 24

Date: 1/31/2005

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

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