BR
Bredawn Riley
VOYA FINANCIAL ADVISORS
HOUSTON, TX 77046
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CRD#: 5125209
BR
Professional summary
Bredawn Riley is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Houston, Texas.
Bredawn is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Bredawn has worked at 5 firms and has passed the Series 66, Series 63, SIE and Series 7 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.
NAME OF ENTITY:Riley Financial; Yes; 2900 N LOOP WEST STE 180; HOUSTON; TX; 77092; DBA; Owner; 3/1/2013; 160; 160; Insurance and Investment Sales|NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 2900 N LOOP WEST STE 180; HOUSTON; TX; 77092; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 10/1/2008; 5; 5; PROSPECTING, QUOTING AND SELLING FIXED ANNUITIES AND LIFE INSURANCE.|NAME OF ENTITY:Bredawn Riley - Rental; No; 3214 CANYON SQUARE DR; SPRING; TX; 77386; Rental Property; Owner; 1/1/2009; 2; 0; Rent out property.|NAME OF ENTITY:Galveston Municipal utilities district (MUD) 32; No; 3200 Southwest FWY Suite 2600; Houston; TX; 77027; Day to day administration of water and waste control for neighborhood 32; Board Member; 10/7/2021; 3; 0; Day to day administration of water and waste control for neighborhood 32|
CRS (Client Relationship Summary) - RIA
Click below to view Bredawn Riley's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Bredawn Riley'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
September 11, 2017 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 24 Greenway Plaza Suite 1725, Houston, TX 77046RIA
BD
CRD#: 2882
HOUSTON, TX
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 24 Greenway Plaza Suite 1725, Houston, TX 77046RIA
BD
CRD#: 2882
HOUSTON, TX
Past
May 28, 2008 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
HOUSTON, TX
Past
June 28, 2007 - April 10, 2008
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SPRING, TX
Past
October 26, 2006 - December 4, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
BEVERLY HILLS, CA
Past
June 6, 2006 - September 25, 2006
EDWARD JONES
BD
CRD#: 250
LOS ANGELES, CA
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
Arizona(7/15/2025)
RR
Arkansas(7/31/2023)
RR
California(1/3/2011)
RR
Colorado(4/16/2024)
RR
Indiana(1/5/2021)
RR
Louisiana(12/19/2017)
RR
Maine(6/9/2021)
RR
Maryland(5/4/2023)
RR
Michigan(6/30/2021)
RR
Missouri(1/15/2019)
RR
New Jersey(6/8/2016)
RR
North Carolina(6/25/2021)
RR
Ohio(7/15/2025)
RR
Oklahoma(5/4/2023)
RR
Tennessee(7/15/2025)
RR
Texas(1/3/2011)
IAR
Texas(9/11/2017)
RR
Virginia(5/4/2023)
RR
Wisconsin(1/5/2021)
RR
Wyoming(9/13/2021)
Exams
State Security Law Exam
State Security Law 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)
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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)
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.
