AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
SD

Shaun R. Dooley

VOYA INVESTMENTS DISTRIBUTOR
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 5745644
SD

Professional summary

Shaun Robert Dooley, who also goes by Shaun R Dooley, Shaun Dooley, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.

Shaun is registered as a RR (Registered Representative) and started their career in finance in 2010. Shaun has worked at 2 firms and has passed the Series 63, SIE, Series 7TO and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Shaun R Dooley | Shaun Dooley

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Shaun Robert Dooley's CRS (Customer Relationship Summary).
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

May 6, 2022 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 200 Park Avenue, New York, NY 10169
BD
CRD#: 37886
NEW YORK, NY
Past

March 15, 2010 - September 29, 2011

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 3/19/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 5/6/2022
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7TO
Date: 4/12/2022
General Securities Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 3/12/2010
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VI
VOYA INVESTMENTS DISTRIBUTOR, LLC
ING FUNDS DISTRIBUTOR, INC. | VOYA INVESTMENTS DISTRIBUTOR, LLC | PILGRIM SECURITIES, INC. | PILGRIM AMERICA SECURITIES, INC. | NEWCO DISTRIBUTORS CORPORATION | ING PILGRIM SECURITIES, INC. | ING INVESTMENTS DISTRIBUTOR, LLC | ING FUNDS DISTRIBUTOR, LLC

CRD#: 37886 / SEC#: , 8-48020

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Loading...

Contact information

Main Address
One Orange Way, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 10/01/2002
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Medium
# of Employees

FINRA licenses (53 States and Territories)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
VOYA FUNDS SERVICES, LLCSOLE SHAREHOLDER
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
POTESTA, TIFFANI ANNECEO, PRESIDENT, DIRECTOR & HEAD OF INTERMEDIARY DISTRIBUTION4042592
WILLINGHAM, CATRINAFINANCIAL OPERATIONS PRINCIPAL7025979

Disclosures

Regulatory Event1

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.

Company Information

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886New York, NY 10169

TRUST BUT VERIFY

Monitor Shaun Dooley

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Richard Gaspare Dragotta
Richard DragottaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
Paramus, NJ
Anthony J. Macagna
Anthony MacagnaAdvisorCheck Check Mark
LPL FINANCIAL LLC
IAR
RR
PARAMUS, NJ
Eileen Polese
Eileen PoleseAdvisorCheck Check Mark
HIGHTOWER ADVISORS, LLC
IAR
New York, NY
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.