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CH

Cara Halloran Paquette

Some features on this profile are disabled
CRD#: 4986728
CH

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.

Cara Halloran Paquette, who also goes by Cara Halloran, Cara Janis Halloran Paquette, was a registered financial professional .

Cara is a previously registered financial professional and started their career in finance in 2005. Cara had worked at 5 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cara Halloran | Cara Janis Halloran Paquette

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)

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

September 21, 2009 - November 17, 2014

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA
CRD#: 106494
NEW YORK, NY
Past

September 9, 2009 - November 17, 2014

VOYA INVESTMENTS DISTRIBUTOR, LLC

BD
CRD#: 37886
WINDSOR, CT
Past

September 12, 2007 - May 28, 2008

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAVANNAH, GA
Past

September 6, 2007 - May 28, 2008

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAVANNAH, GA
Past

April 2, 2007 - June 15, 2007

MORGAN STANLEY & CO. LLC

RIA
CRD#: 8209
PROVIDENCE, RI
Past

April 2, 2007 - June 15, 2007

MORGAN STANLEY & CO. LLC

BD
CRD#: 8209
PROVIDENCE, RI
Past

September 28, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

RIA
CRD#: 7556
PROVIDENCE, RI
Past

September 13, 2005 - April 2, 2007

MORGAN STANLEY DW INC.

BD
CRD#: 7556
PROVIDENCE, RI

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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC

CRD#: 106494 / SEC#: 801-9046

RIA
Registered Investment Advisory firm - (1/7/1973 Approved)

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.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 9/27/2005
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2014
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 31
Date: 9/20/2005
Futures Managed Funds Examination
General Industry/Product Exam
RR
Series 7
Date: 9/12/2005
General Securities Representative Examination

Current Firm

VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC

CRD#: 106494 / SEC#: 801-9046

RIA
Registered Investment Advisory firm - (1/7/1973 Approved)
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Contact information

Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880

SEC notice filing (52 States and Territories)

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

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

Regulatory assets under management

Total Number of Accounts2,261
AUM (Assets Under Management)$ 253,808,191,665

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
12/05/2025
Cover Page
Report
11/26/2024
Cover Page
Report
10/26/2023
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.

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494

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