Michael T. Filippi
Professional summary
Michael Thomas Filippi, who also goes by Michael Thomas Filipp, is a registered financial advisor currently at VOYA RETIREMENT ADVISORS, LLC located in Sherman, Connecticut and VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2009. Michael has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Michael Thomas Filippi's CRS (Customer Relationship Summary).
Certified licenses
Experience
April 28, 2021 - Present
VOYA RETIREMENT ADVISORS, LLC
Office #2: One Orange Way, Windsor, CT 06095July 8, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095April 28, 2021 - Present
VOYA FINANCIAL PARTNERS, LLC
Office #1: One Orange Way, Windsor, CT 06095July 8, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, C4-s, Windsor, CT 06095April 27, 2021 - July 12, 2023
VOYA FINANCIAL PARTNERS, LLC
March 30, 2018 - November 21, 2019
PARK AVENUE SECURITIES LLC
July 15, 2015 - November 21, 2019
PARK AVENUE SECURITIES LLC
January 20, 2015 - April 7, 2015
LAIDLAW & COMPANY (UK) LTD.
July 9, 2014 - December 12, 2014
ROCKWELL GLOBAL CAPITAL LLC
May 2, 2012 - January 8, 2014
ROCKWELL GLOBAL CAPITAL LLC
October 20, 2011 - May 2, 2012
SPARTAN CAPITAL SECURITIES, LLC
December 15, 2009 - June 27, 2011
INVESTORS CAPITAL CORP.
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(4/28/2021)
(4/28/2021)
Exams
FINRA
Current Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
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 |
|---|---|---|
| 01/15/2026 | ||
| 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.
