CM
Christopher D. Mathys
VOYA RETIREMENT ADVISORS
Avon Lake, OH
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CRD#: 5054458
CM
Professional summary
Christopher Donald Mathys is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Avon Lake, Ohio and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Christopher has worked at 6 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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) 07/2023 - OSWALD FINANCIAL INC / DBA for LPL Business (entity for LPL business) - Inv. Related - At Reported Business Location(s) 2) 07/26/2023 - GLOBAL RETIREMENT PARTNERS - Investment Related - At Reported Business Location(s) - Registered Investment Advisor Hybrid - IAR - Start Date 6/24/2023 - 160 Hours Per Month/ 8 Hours During Trading - I provide investment advisory services through GLOBAL RETIREMENT PARTNERS, an independent investment advisor firm. I started this business activity in 6/2023. I expect to spend approximately 160 hours per month on this activity. Please see the advisory firm's Form ADV for more information about its address, the nature of its business, its owners, and its services at http://www.adviserinfo.sec.gov/IAPD. The firm is separate from and independent of LPL Financial. 3) 07/26/2023 - OSWALD FINANCIAL INC - Investment Related - At Reported Business Location(s) -Registered Investment Advisor DBA - IAR - Start Date 6/2023 - 160 Hours Per Month/ 8 Hours During Trading
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Donald Mathys'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
June 22, 2024 - Present
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
Avon Lake, OH
Current
April 19, 2024 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: One Orange Way, Windsor, CT 06095BD
CRD#: 34815
Windsor, CT
Past
July 14, 2023 - October 17, 2024
GLOBAL RETIREMENT PARTNERS LLC
RIA
CRD#: 172011
Cleveland, OH
Past
July 13, 2023 - April 17, 2024
LPL FINANCIAL LLC
BD
CRD#: 6413
CLEVELAND, OH
Past
January 5, 2018 - June 22, 2023
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
April 15, 2016 - December 21, 2017
CETERA INVESTMENT SERVICES LLC
BD
CRD#: 15340
CLEVELAND, OH
Past
November 9, 2005 - May 14, 2014
NATIONWIDE INVESTMENT SERVICES CORPORATION
BD
CRD#: 7110
COLUMBUS, 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 RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
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.
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
Connecticut(4/19/2024)
RR
Ohio(4/19/2024)
IAR
Ohio(6/22/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CITISTREET ADVISORS LLC | VOYA RETIREMENT ADVISORS, LLC | SMITH ANNUITY SERVICES, INC. | SMITH ANNUITY SERVICES LLC | ING INVESTMENT ADVISORS, LLC | D. F. S. & ASSOCIATES
CRD#: 3989 / SEC#: 801-57963, 8-14495
RIA
Registered Investment Advisory firm - SEC (9/25/2000 Approved)BD
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)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
