CC
Christopher D. Caldwell
VOYA FINANCIAL ADVISORS
Windsor, CT 06095
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CRD#: 5452504
CC
Professional summary
Christopher Donald Caldwell, who also goes by Christopher Caldwell, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Christopher has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Christopher Caldwell
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.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Donald Caldwell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Donald Caldwell'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
October 28, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Current
October 24, 2019 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
March 5, 2019 - July 17, 2019
JOHNSON BRUNETTI
RIA
CRD#: 171168
WETHERSFIELD, CT
Past
July 21, 2014 - February 11, 2019
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
WINDSOR, CT
Past
January 2, 2013 - February 11, 2019
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
WINDSOR, CT
Past
December 16, 2010 - January 2, 2013
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
WINDSOR, CT
Past
January 1, 2009 - January 30, 2009
TALCOTT RESOLUTION DISTRIBUTION COMPANY, INC.
BD
CRD#: 37819
WINDSOR, CT
Past
December 19, 2007 - January 1, 2009
HIMCO DISTRIBUTION SERVICES COMPANY
BD
CRD#: 6604
HARTFORD, CT
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
Alabama(10/24/2019)
RR
Alaska(10/24/2019)
RR
Arizona(10/24/2019)
RR
Arkansas(10/24/2019)
RR
California(10/24/2019)
RR
Colorado(10/24/2019)
RR
Connecticut(10/24/2019)
IAR
Connecticut(10/28/2019)
RR
Delaware(10/24/2019)
RR
District of Columbia(10/24/2019)
RR
Florida(10/24/2019)
RR
Georgia(10/24/2019)
RR
Hawaii(10/24/2019)
RR
Idaho(10/24/2019)
RR
Illinois(10/24/2019)
RR
Indiana(10/24/2019)
RR
Iowa(10/24/2019)
RR
Kansas(10/24/2019)
RR
Kentucky(10/24/2019)
RR
Louisiana(10/24/2019)
RR
Maine(10/24/2019)
RR
Maryland(10/24/2019)
RR
Massachusetts(10/24/2019)
RR
Michigan(10/24/2019)
RR
Minnesota(10/24/2019)
RR
Mississippi(10/24/2019)
RR
Missouri(10/24/2019)
RR
Montana(10/24/2019)
RR
Nebraska(10/24/2019)
RR
Nevada(10/24/2019)
RR
New Hampshire(10/24/2019)
RR
New Jersey(10/24/2019)
RR
New Mexico(10/24/2019)
RR
New York(10/24/2019)
IAR
New York(10/11/2022)
RR
North Carolina(10/24/2019)
RR
North Dakota(10/24/2019)
RR
Ohio(10/24/2019)
RR
Oklahoma(10/24/2019)
RR
Oregon(10/24/2019)
RR
Pennsylvania(10/24/2019)
RR
Puerto Rico(10/24/2019)
RR
Rhode Island(10/24/2019)
RR
South Carolina(10/24/2019)
RR
South Dakota(10/24/2019)
RR
Tennessee(10/24/2019)
RR
Texas(10/24/2019)
IAR
Texas(10/28/2019)
RR
Utah(10/24/2019)
RR
Vermont(10/24/2019)
RR
Virgin Islands(10/24/2019)
RR
Virginia(10/24/2019)
RR
Washington(10/24/2019)
RR
West Virginia(10/24/2019)
RR
Wisconsin(10/24/2019)
RR
Wyoming(10/24/2019)
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 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.
