VB
Valerie Baker
VOYA RETIREMENT ADVISORS
The Woodlands, TX
Some features on this profile are disabled
CRD#: 5203346
VB
Professional summary
Valerie Baker, who also goes by Valerie Lynn Baker, Valerie Baker, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in The Woodlands, Texas and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.
Valerie is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Valerie has worked at 7 firms and has passed the Series 63, Series 65, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Valerie Lynn Baker | Valerie Baker
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.
Rotary Club of the Woodlands; Not investment related; PO Box 7353, The Woodlands, TX 77387-7353; Community service & fraternal organization; prospective member; 05/17/2024 ; 8 hour per month; 4 hours per month during trading hours; Community service, social activities, luncheons.
CRS (Client Relationship Summary) - RIA
Click below to view Valerie Baker'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
July 19, 2023 - Present
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
The Woodlands, TX
Current
April 11, 2023 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: One Orange Way, Windsor, CT 06095BD
CRD#: 34815
Windsor, CT
Past
April 11, 2023 - July 19, 2023
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
WINDSOR, CT
Past
October 1, 2019 - October 6, 2021
LOCKTON INVESTMENT ADVISORS, LLC
RIA
CRD#: 144133
Houston, TX
Past
October 1, 2019 - October 6, 2021
LOCKTON INVESTMENT SECURITIES, LLC
BD
CRD#: 137476
HOUSTON, TX
Past
January 5, 2016 - April 24, 2019
EMPOWER FINANCIAL SERVICES, INC.
BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past
July 31, 2008 - April 24, 2019
EMPOWER ADVISORY GROUP, LLC
RIA
CRD#: 112058
GREENWOOD VILLAGE, CO
Past
July 31, 2007 - May 28, 2008
NATIONAL PLANNING CORPORATION
RIA
CRD#: 29604
DENVER, CO
Past
September 8, 2006 - May 28, 2008
NATIONAL PLANNING CORPORATION
BD
CRD#: 29604
DENVER, CO
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
Alabama(4/11/2023)
RR
Alaska(4/11/2023)
RR
Arizona(4/11/2023)
RR
Arkansas(4/11/2023)
RR
California(4/11/2023)
RR
Colorado(4/11/2023)
RR
Connecticut(4/11/2023)
RR
Delaware(4/11/2023)
RR
District of Columbia(4/11/2023)
RR
Florida(4/11/2023)
RR
Georgia(4/11/2023)
RR
Hawaii(4/11/2023)
RR
Idaho(4/11/2023)
RR
Illinois(4/11/2023)
RR
Indiana(4/11/2023)
RR
Iowa(4/11/2023)
RR
Kansas(4/11/2023)
RR
Kentucky(4/11/2023)
RR
Louisiana(4/11/2023)
RR
Maine(4/11/2023)
RR
Maryland(4/11/2023)
RR
Massachusetts(4/11/2023)
RR
Michigan(4/11/2023)
RR
Minnesota(4/11/2023)
RR
Mississippi(4/11/2023)
RR
Missouri(4/11/2023)
RR
Montana(4/11/2023)
RR
Nebraska(4/11/2023)
RR
Nevada(4/11/2023)
RR
New Hampshire(4/11/2023)
RR
New Jersey(4/11/2023)
RR
New Mexico(4/11/2023)
RR
New York(4/11/2023)
RR
North Carolina(4/11/2023)
RR
North Dakota(4/11/2023)
RR
Ohio(4/12/2023)
RR
Oklahoma(4/11/2023)
RR
Oregon(4/11/2023)
RR
Pennsylvania(4/11/2023)
RR
Puerto Rico(4/11/2023)
RR
Rhode Island(4/11/2023)
RR
South Carolina(4/11/2023)
RR
South Dakota(4/11/2023)
RR
Tennessee(4/11/2023)
RR
Texas(4/11/2023)
IAR
Texas(7/19/2023)
RR
Utah(4/11/2023)
RR
Vermont(4/11/2023)
RR
Virgin Islands(4/11/2023)
RR
Virginia(4/11/2023)
RR
Washington(4/11/2023)
RR
West Virginia(4/11/2023)
RR
Wisconsin(4/11/2023)
RR
Wyoming(4/11/2023)
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 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.
