TK
Thomas D. Kucera
VOYA FINANCIAL ADVISORS
College Station, TX 77845
Some features on this profile are disabled
CRD#: 4769247
TK
Professional summary
Thomas Daniel Kucera, who also goes by Tom Kucera, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in College Station, Texas.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Thomas has worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Tom Kucera
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.
NAME OF ENTITY:House Rental; No; 7703 E 4th Street; Scottsdale; AZ; 85251; Real estate property that I own that I will be renting.; OWNER; 9/1/2020; 5; 0; Owner, manage lease agmt and bookings for tenants, collect & deposit rent, other items that may arise with owning a property.| NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 547 WILLIAM D FITCH PKWY STE 101; COLLEGE STATION; TX; 77845; FIXED INSURANCE SALES; Independent Insurance Agent; 8/21/2020; 160; 160; SALES OF FIXED INSURANCE PRODUCTS| NAME OF ENTITY:Galloway Kucera Financial LLC; Yes; 2423 Earl Rudder Freeway S, Suite 100; College Station; TX; 77845; Financial Services/dba; Vice President; 2/23/2021; 160; 160; Sale and Service Insurance, Securities and Investment Products|
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Daniel Kucera's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thomas Daniel Kucera'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
March 17, 2017 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 2423 Earl Rudder Freeway S Ste 100, College Station, TX 77845RIA
BD
CRD#: 2882
College Station, TX
Current
March 9, 2017 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 2423 Earl Rudder Freeway S Ste 100, College Station, TX 77845RIA
BD
CRD#: 2882
College Station, TX
Past
February 17, 2012 - January 3, 2017
WBI INVESTMENTS, LLC
RIA
CRD#: 106336
DENVER, CO
Past
December 5, 2011 - December 31, 2016
QUASAR DISTRIBUTORS, LLC
BD
CRD#: 103848
PORTLAND, ME
Past
January 22, 2008 - October 14, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
BD
CRD#: 40178
DENVER, CO
Past
October 17, 2007 - January 7, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
RIA
CRD#: 20472
DENVER, CO
Past
October 16, 2007 - January 7, 2008
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
BD
CRD#: 20472
DENVER, CO
Past
October 16, 2006 - August 21, 2007
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
HIGHLANDS RANCH, CO
Past
October 10, 2006 - August 21, 2007
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
HIGHLANDS RANCH, CO
Past
March 10, 2004 - September 30, 2005
FIFTH THIRD SECURITIES, INC.
BD
CRD#: 628
CINCINNATI, OH
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(9/22/2020)
RR
Arizona(3/14/2017)
RR
Arkansas(9/22/2020)
RR
California(9/23/2020)
RR
Colorado(3/13/2017)
IAR
Colorado(3/17/2017)
RR
Connecticut(9/22/2020)
RR
Florida(9/23/2020)
RR
Georgia(10/16/2020)
RR
Illinois(10/1/2020)
RR
Indiana(9/24/2020)
RR
Iowa(9/28/2020)
RR
Kansas(9/25/2020)
RR
Kentucky(7/26/2021)
RR
Maryland(11/4/2021)
RR
Massachusetts(9/23/2020)
RR
Michigan(7/31/2024)
RR
Mississippi(12/4/2020)
RR
Missouri(9/22/2020)
RR
Montana(3/9/2017)
RR
Nebraska(9/25/2020)
RR
New Jersey(11/4/2021)
RR
New Mexico(3/17/2017)
RR
New York(9/22/2020)
IAR
New York(10/12/2022)
RR
North Carolina(9/22/2020)
RR
Ohio(9/22/2020)
RR
Oklahoma(3/14/2017)
RR
Oregon(9/25/2020)
RR
Pennsylvania(9/23/2020)
RR
South Carolina(9/24/2020)
RR
Texas(3/16/2017)
IAR
Texas(4/30/2020)
RR
Utah(3/9/2017)
RR
Virginia(10/2/2020)
RR
Washington(9/22/2020)
RR
Wyoming(3/17/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
