MP
Micheal S. Penland
VOYA RETIREMENT ADVISORS
LIVERMORE, CA
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CRD#: 5618805
MP
Professional summary
Micheal Scott Penland is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Livermore, California and VOYA FINANCIAL PARTNERS, LLC located in Brentwood, California.
Micheal is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Micheal has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 24 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Micheal Scott Penland'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 14, 2023 - Present
VOYA RETIREMENT ADVISORS, LLC
RIA
CRD#: 3989
LIVERMORE, CA
Current
February 8, 2019 - Present
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
Brentwood, CA
Past
June 3, 2021 - July 18, 2023
VOYA FINANCIAL PARTNERS, LLC
RIA
CRD#: 34815
BRAINTREE, MA
Past
February 13, 2019 - March 9, 2021
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
Livermore, CA
Past
February 8, 2019 - March 9, 2021
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
Livermore, CA
Past
August 11, 2015 - February 28, 2019
LION STREET ADVISORS, LLC
RIA
CRD#: 167610
PLEASANTON, CA
Past
August 8, 2015 - February 28, 2019
LION STREET FINANCIAL, LLC
BD
CRD#: 165828
LIVERMORE, CA
Past
August 11, 2009 - August 12, 2015
KESTRA INVESTMENT SERVICES, LLC
RIA
CRD#: 42046
PLEASANTON, CA
Past
April 7, 2009 - August 12, 2015
KESTRA INVESTMENT SERVICES, LLC
BD
CRD#: 42046
PLEASANTON, CA
Past
March 9, 2009 - March 24, 2009
USF SECURITIES, L.P.
BD
CRD#: 37942
PLEASANTON, 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 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(6/3/2021)
RR
Alaska(6/3/2021)
RR
Arizona(6/3/2021)
RR
Arkansas(6/3/2021)
RR
California(2/8/2019)
IAR
California(7/14/2023)
RR
Colorado(6/3/2021)
RR
Connecticut(6/3/2021)
RR
Delaware(6/3/2021)
RR
District of Columbia(6/3/2021)
RR
Florida(6/3/2021)
RR
Georgia(6/3/2021)
RR
Hawaii(6/3/2021)
RR
Idaho(6/3/2021)
RR
Illinois(6/3/2021)
RR
Indiana(6/3/2021)
RR
Iowa(6/3/2021)
RR
Kansas(6/3/2021)
RR
Kentucky(6/3/2021)
RR
Louisiana(6/3/2021)
RR
Maine(6/3/2021)
RR
Maryland(6/3/2021)
RR
Massachusetts(6/3/2021)
RR
Michigan(6/3/2021)
RR
Minnesota(6/3/2021)
RR
Mississippi(6/3/2021)
RR
Missouri(6/3/2021)
RR
Montana(6/3/2021)
RR
Nebraska(6/3/2021)
RR
Nevada(6/3/2021)
RR
New Hampshire(6/3/2021)
RR
New Jersey(6/3/2021)
RR
New Mexico(6/3/2021)
IAR
New Mexico(7/14/2023)
RR
New York(6/3/2021)
RR
North Carolina(6/3/2021)
RR
North Dakota(6/3/2021)
RR
Ohio(6/4/2021)
RR
Oklahoma(6/3/2021)
RR
Oregon(6/3/2021)
RR
Pennsylvania(6/3/2021)
RR
Puerto Rico(6/3/2021)
RR
Rhode Island(6/3/2021)
RR
South Carolina(6/3/2021)
RR
South Dakota(6/3/2021)
RR
Tennessee(6/3/2021)
RR
Texas(6/3/2021)
IAR
Texas(7/14/2023)
RR
Utah(6/3/2021)
RR
Vermont(6/3/2021)
RR
Virgin Islands(6/3/2021)
RR
Virginia(6/3/2021)
RR
Washington(6/3/2021)
RR
West Virginia(6/3/2021)
RR
Wisconsin(6/3/2021)
RR
Wyoming(6/3/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
