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EP

Elvis J. Phillips

VOYA FINANCIAL ADVISORS
New Castle, DE 19720
Some features on this profile are disabled
CRD#: 4914910
EP

Professional summary

Elvis Julian Phillips, who also goes by Elvis Julian Pena, Elvis J Phillips, Elvis Julian Phillips, Elvis Phillips, is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in New Castle, Delaware.

Elvis is registered as a RR (Registered Representative) and started their career in finance in 2005. Elvis has worked at 6 firms and has passed the Series 63, Series 66, Series 6TO, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Elvis Julian Pena | Elvis J Phillips | Elvis Julian Phillips | Elvis Phillips

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Elvis Julian Phillips's CRS (Customer Relationship Summary).
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

May 5, 2026 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: 10 Corporate Circle Ste 205, New Castle, DE 19720
RIA
BD
CRD#: 2882
New Castle, DE
Past

December 15, 2023 - June 2, 2025

CITIZENS SECURITIES, INC.

BD
CRD#: 39550
BLUE BELL, PA
Past

June 27, 2023 - December 6, 2023

ADP BROKER-DEALER, INC.

BD
CRD#: 37693
Allentown, PA
Past

October 17, 2017 - October 2, 2018

MORGAN STANLEY

RIA
CRD#: 149777
BLUE BELL, PA
Past

October 17, 2017 - October 2, 2018

MORGAN STANLEY

BD
CRD#: 149777
BLUE BELL, PA
Past

November 27, 2013 - August 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
PENNINGTON, NJ
Past

November 8, 2013 - August 31, 2017

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ
Past

August 30, 2005 - October 17, 2013

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
MALVERN, PA

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.
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.

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
Delaware
(5/5/2026)
RR
Pennsylvania
(5/5/2026)

Exams

State Security Law Exam
RR
Series 63
Date: 7/15/2023
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 11/25/2013
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 6/27/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/8/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/29/2005
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VOYA FINANCIAL ADVISORS, INC.
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)
PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)
PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

NamePositionCRD#
VOYA HOLDINGS INC.100% SHAREHOLDER
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
DEPRATTI, JOHN JVP, OPERATIONS PRINCIPAL2927917
PAASCH, STEPHAN ANTHONYCHIEF COMPLIANCE OFFICER2968516
REILLY, JONATHAN FRANCISPRESIDENT2039032

Regulatory assets under management

Total Number of Accounts11,854
AUM (Assets Under Management)$ 2,744,735,129

Disclosures

Regulatory Event36
Arbitration9

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.

Company Information

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882New Castle, DE 19720

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