Dexter R. Cumberbatch

VOYA RETIREMENT ADVISORS

Phoenix, AZ

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CRD#: 5500153

Professional summary

Dexter Rene Cumberbatch, who also goes by Dexter Cumberbatch, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Phoenix, Arizona and VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Dexter is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Dexter has worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Dexter Cumberbatch

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.) CactusHabit, LLC; Not investment related; 2632 S. 83rd Ave. #100-301 Phoenix, AZ 85043; Retail - sell insulated water bottles; Partner; 05/01/2022 ; 10 hour per month; 0 hours per month during trading hours; Product Manager/Designer. 2.) Birdfly, LLC; Not investment related; 2632 S. 83rd Ave. #100-301 Phoenix, AZ 85043; Technology Services - Travel application; Owner; 11/01/2022 ; 40 hour per month; 0 hours per month during trading hours; Building an application in the travel industry.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dexter Rene Cumberbatch'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®

None

Experience

Current

November 18, 2022 - Present

VOYA RETIREMENT ADVISORS, LLC

RIA

CRD#: 3989

Phoenix, AZ

Current

November 28, 2022 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095

CRD#: 34815

Windsor, CT

Past

November 17, 2022 - July 12, 2023

VOYA FINANCIAL PARTNERS, LLC

RIA

CRD#: 34815

WINDSOR, CT

Past

June 24, 2016 - March 2, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

PHOENIX, AZ

Past

June 23, 2016 - March 2, 2022

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

PHOENIX, AZ

Past

April 26, 2012 - June 18, 2015

EDWARD JONES

RIA

CRD#: 250

PHOENIX, AZ

Past

February 13, 2012 - June 18, 2015

EDWARD JONES

CRD#: 250

PHOENIX, AZ

Past

June 26, 2008 - November 26, 2010

EDWARD JONES

RIA

CRD#: 250

GRANTS, NM

Past

April 28, 2008 - November 26, 2010

EDWARD JONES

CRD#: 250

GRANTS, NM

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

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

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.

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

IAR

Arizona
(11/18/2022)

Arizona
(12/2/2022)

IAR

California
(11/18/2022)

California
(11/28/2022)

Connecticut
(11/6/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 6/20/2008

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/24/2008

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

CRD#: 3989 / SEC#: 801-57963, 8-14495

RIA

Registered Investment Advisory firm - SEC (9/25/2000 Approved)

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)

Documents

Latest Form ADV

Part 2 Brochures

VOYA RETIREMENT ADVISORS, LLC PART 2A BROCHURE (3/12/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA INSTITUTIONAL PLAN SERVICES, LLC	SOLE MEMBER OF APPLICANT
GORDON, REGINA AVERY	CHIEF COMPLIANCE OFFICER	3173644
HULTGREN, KRISTIN HENDERSON	CFO / FINOP	5506534
NICHOLS, JAMES LUTHER IV	MANAGING DIRECTOR	5237805

Regulatory assets under management

Total Number of Accounts	13,160
AUM (Assets Under Management)	$ 30,885,140,490

Disclosures

Regulatory Event

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
10/18/2024	Cover Page	Report
01/26/2024	Cover Page	Report
01/27/2023	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.

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Dexter R. Cumberbatch

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Dexter Rene Cumberbatch's CRS (Customer Relationship Summary).

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

EDWARD JONES

EDWARD JONES

EDWARD JONES

EDWARD JONES

Primary Firm SEC Registration

VOYA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/20/2008

SIE

Date: 10/1/2018

Series 7

Date: 4/24/2008

FINRA

Current Firm

VOYA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Accountant surprise examination report

Red Flags

Company Information

VOYA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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