JD
James H. Degennaro
VOYA INVESTMENT MANAGEMENT CO. LLC
Atlanta, GA 30327
Some features on this profile are disabled
CRD#: 5717493
JD
Professional summary
James Higgins Degennaro, CFP®, who also goes by James H Degennaro, James Higgins Degennaro, Jim Degennaro, James Degennaro, is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Atlanta, Georgia and VOYA INVESTMENTS DISTRIBUTOR, LLC located in Atlanta, Georgia.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. James has worked at 10 firms and has passed the Series 63, Series 66, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James H Degennaro | James Higgins Degennaro | Jim Degennaro | James Degennaro
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.
American Legion Post 140; No; Atlanta, GA; Charity; Vice Commander/ Board Member; 2011; 5-10 hrs/mo; 0hrs/mo;
CRS (Client Relationship Summary) - RIA
Click below to view James Higgins Degennaro'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®
Experience
Current
December 14, 2022 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
Office #1: 5780 Powers Ferry Rd, Atlanta, GA 30327RIA
CRD#: 106494
Atlanta, GA
Current
December 14, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 5780 Powers Ferry Road Nw, Atlanta, GA 30327BD
CRD#: 37886
Atlanta, GA
Past
December 12, 2019 - December 6, 2022
INVESCO DISTRIBUTORS, INC.
BD
CRD#: 7369
ATLANTA, GA
Past
July 19, 2019 - November 20, 2019
WAYPOINT DIRECT INVESTMENTS, LLC
BD
CRD#: 132475
Atlanta, GA
Past
August 20, 2015 - November 25, 2015
T. ROWE PRICE INVESTMENT SERVICES, INC.
BD
CRD#: 8348
OWINGS MILLS, MD
Past
July 9, 2014 - July 14, 2015
VIRTUS CAPITAL ADVISERS, LLC
RIA
CRD#: 107346
ATLANTA, GA
Past
July 2, 2014 - July 21, 2015
FORESIDE ASSOCIATES, LLC
BD
CRD#: 13494
ATLANTA, GA
Past
January 18, 2011 - December 19, 2013
USAA FINANCIAL PLANNING SERVICES
RIA
CRD#: 106352
ATLANTA, GA
Past
October 1, 2010 - December 19, 2013
USAA FINANCIAL ADVISORS, INC.
BD
CRD#: 129035
ATLANTA, GA
Past
November 4, 2009 - March 9, 2010
NEW ENGLAND SECURITIES
BD
CRD#: 615
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)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(12/14/2022)
RR
Alaska(12/14/2022)
IAR
Alaska(12/14/2022)
RR
Arizona(12/14/2022)
IAR
Arizona(12/19/2022)
RR
Arkansas(12/14/2022)
RR
California(12/14/2022)
RR
Colorado(12/14/2022)
RR
Connecticut(12/14/2022)
RR
Delaware(12/14/2022)
IAR
Delaware(12/14/2022)
RR
District of Columbia(12/14/2022)
IAR
District of Columbia(1/4/2023)
RR
Florida(12/14/2022)
RR
Georgia(12/14/2022)
IAR
Georgia(12/16/2022)
RR
Hawaii(12/14/2022)
RR
Idaho(12/14/2022)
RR
Illinois(12/14/2022)
IAR
Illinois(12/14/2022)
RR
Indiana(12/14/2022)
IAR
Indiana(12/14/2022)
RR
Iowa(12/14/2022)
RR
Kansas(12/14/2022)
RR
Kentucky(12/14/2022)
IAR
Kentucky(12/14/2022)
RR
Louisiana(12/14/2022)
IAR
Louisiana(12/14/2022)
RR
Maine(12/14/2022)
IAR
Maine(12/14/2022)
RR
Maryland(12/14/2022)
RR
Massachusetts(12/14/2022)
RR
Michigan(12/14/2022)
RR
Minnesota(12/14/2022)
RR
Mississippi(12/14/2022)
RR
Missouri(12/14/2022)
RR
Montana(12/14/2022)
RR
Nebraska(12/14/2022)
RR
Nevada(12/14/2022)
RR
New Hampshire(12/14/2022)
RR
New Jersey(12/14/2022)
RR
New Mexico(12/14/2022)
IAR
New Mexico(12/16/2022)
RR
New York(12/14/2022)
RR
North Carolina(12/14/2022)
RR
North Dakota(12/14/2022)
IAR
North Dakota(1/5/2023)
RR
Ohio(12/14/2022)
RR
Oklahoma(12/14/2022)
IAR
Oklahoma(12/14/2022)
RR
Oregon(12/14/2022)
RR
Pennsylvania(12/14/2022)
RR
Puerto Rico(12/14/2022)
RR
Rhode Island(12/14/2022)
IAR
Rhode Island(12/14/2022)
RR
South Carolina(12/14/2022)
IAR
South Carolina(12/14/2022)
RR
South Dakota(12/14/2022)
RR
Tennessee(12/14/2022)
RR
Texas(12/14/2022)
IAR
Texas(12/14/2022)
RR
Utah(12/14/2022)
RR
Vermont(12/14/2022)
RR
Virgin Islands(12/14/2022)
RR
Virginia(12/14/2022)
IAR
Virginia(12/14/2022)
RR
Washington(12/14/2022)
RR
West Virginia(12/14/2022)
RR
Wisconsin(12/14/2022)
RR
Wyoming(12/14/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 7/19/2019
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
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Contact information
Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/05/2025 | ||
| 11/26/2024 | ||
| 10/26/2023 |
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.
