RT
Robert T. Tudor
VOYA FINANCIAL ADVISORS
Buford, GA
Some features on this profile are disabled
CRD#: 5670404
RT
Professional summary
Robert Thatcher Tudor III, who also goes by Robert Thatcher Tudor, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Buford, Georgia.
Robert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Robert has worked at 8 firms and has passed the Series 66, Series 63, Series 99TO, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Robert Thatcher Tudor
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) Concorde Investment Services, LLC; Investment related; Buford, GA; Broker/dealer; Registered Representative; start: 03/2024; 40 hours per month 35 during securities trading. 2) Concorde Asset Management, LLC; Investment related; Buford, GA; Registered Investment Advisor; Investment Advisor Representative; Start: 03/2024; 40 hours per month 35 during securities trading. 3) Bangerter Financial Services, Inc.; Investment related; Buford, GA; Registered Investment Advisory firm; Chief Compliance Officer and Investment Advisor Representative. Start date: 03/2024. Full time during trading hours.
CRS (Client Relationship Summary) - RIA
Click below to view Robert Thatcher Tudor III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Robert Thatcher Tudor III'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
April 15, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Buford, GA
Current
April 14, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
West Des Moines, IA
Past
November 21, 2024 - April 30, 2025
LPL FINANCIAL LLC
RIA
CRD#: 6413
Buford, GA
Past
November 20, 2024 - April 30, 2025
LPL FINANCIAL LLC
BD
CRD#: 6413
FORT MILL, SC
Past
March 21, 2024 - July 2, 2024
BANGERTER FINANCIAL SERVICES, INC.
RIA
CRD#: 171939
Buford, GA
Past
May 28, 2019 - June 27, 2024
CONCORDE ASSET MANAGEMENT, LLC
RIA
CRD#: 140367
Buford, GA
Past
May 22, 2019 - June 27, 2024
CONCORDE INVESTMENT SERVICES, LLC
BD
CRD#: 151604
Ann Arbor, MI
Past
May 8, 2017 - May 16, 2019
TRIAD ADVISORS LLC
RIA
CRD#: 25803
NORCROSS, GA
Past
May 3, 2017 - May 16, 2019
TRIAD ADVISORS LLC
BD
CRD#: 25803
NORCROSS, GA
Past
March 21, 2017 - May 5, 2017
SCOTTRADE INVESTMENT MANAGEMENT
RIA
CRD#: 169988
SAINT LOUIS, MO
Past
August 31, 2011 - May 5, 2017
SCOTTRADE, INC.
BD
CRD#: 8206
ALPHARETTA, GA
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
Connecticut(4/14/2025)
IAR
Connecticut(4/16/2025)
RR
Georgia(4/14/2025)
IAR
Georgia(4/15/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 11/20/2024
Operations Professional ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
