DC
Daniel R. Conti
VOYA INVESTMENT MANAGEMENT CO. LLC
Mount Pleasant, WI
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CRD#: 5769743
DC
Professional summary
Daniel R Conti is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Mount Pleasant, Wisconsin and VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Daniel has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 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.
1)GOLFTRADINGPOST/369 90th St.MOUNT PLEASANT, WI 53406/ONLINE GOLF EQUIPMENT SALES COMPANY/SELLING GOLF EQUIPMENT ONLINE FROM MY HOME/START DATE: 12/2018/APPROX 4 HOURS PER MONTH DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 2)MADISON 4 KIDS/2501 PARMENTER ST., MIDDLETON, WI 53562/START DATE: JUNE 2019/BOARD MEMBER/CHILDREN'S NON-PROFIT/3 HOURS PER MONTH DEVOTED TO THIS OTHER ORGANIZATION DURING NON-BUSINESS HOURS 3.) Benji Homes LLC; Not investment related; 369 90th st. Mount Pleasant, WI 53406; Owner; 10/09/2024; 4 hour per month; 0 hours per month during trading hours; LLC setup to purchase a residential property/new construction to sell at a later date.
CRS (Client Relationship Summary) - RIA
Click below to view Daniel R Conti'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
May 9, 2016 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
Mount Pleasant, WI
Current
May 9, 2016 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 200 Park Avenue, New York, NY 10169BD
CRD#: 37886
NEW YORK, NY
Past
October 14, 2014 - December 31, 2014
ALLSPRING FUNDS MANAGEMENT, LLC
RIA
CRD#: 110841
MEMONEE FALLS, WI
Past
October 14, 2014 - May 3, 2016
ALLSPRING FUNDS DISTRIBUTOR, LLC
BD
CRD#: 133366
MENOMONEE FALLS, WI
Past
December 11, 2013 - October 10, 2014
PACKERLAND BROKERAGE SERVICES, INC.
RIA
CRD#: 37031
BROOKFIELD, WI
Past
December 11, 2013 - October 10, 2014
PACKERLAND BROKERAGE SERVICES, INC.
BD
CRD#: 37031
WAUKESHA, WI
Past
July 7, 2012 - December 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
WAUKESHA, WI
Past
April 27, 2012 - December 6, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
WAUKESHA, WI
Past
February 13, 2012 - March 5, 2012
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
April 20, 2010 - February 8, 2012
NEW ENGLAND SECURITIES
BD
CRD#: 615
BROOKFIELD, WI
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(10/29/2021)
RR
Alaska(10/29/2021)
IAR
Alaska(11/8/2021)
RR
Arizona(10/29/2021)
IAR
Arizona(11/19/2021)
RR
Arkansas(10/29/2021)
RR
California(10/29/2021)
RR
Colorado(10/29/2021)
RR
Connecticut(10/29/2021)
RR
Delaware(10/29/2021)
IAR
Delaware(11/3/2021)
RR
District of Columbia(10/29/2021)
IAR
District of Columbia(7/12/2022)
RR
Florida(10/29/2021)
RR
Georgia(10/29/2021)
IAR
Georgia(11/1/2021)
RR
Hawaii(10/29/2021)
RR
Idaho(10/29/2021)
RR
Illinois(5/9/2016)
IAR
Illinois(5/10/2016)
RR
Indiana(10/29/2021)
IAR
Indiana(11/2/2021)
IAR
Iowa(5/12/2016)
RR
Iowa(10/29/2021)
RR
Kansas(10/29/2021)
RR
Kentucky(10/29/2021)
IAR
Kentucky(11/2/2021)
RR
Louisiana(10/29/2021)
IAR
Louisiana(11/1/2021)
RR
Maine(10/29/2021)
IAR
Maine(11/2/2021)
RR
Maryland(10/29/2021)
RR
Massachusetts(10/29/2021)
RR
Michigan(1/28/2019)
IAR
Michigan(2/4/2019)
IAR
Minnesota(5/10/2016)
RR
Minnesota(10/29/2021)
RR
Mississippi(10/29/2021)
RR
Missouri(10/29/2021)
RR
Montana(10/29/2021)
RR
Nebraska(10/29/2021)
RR
Nevada(10/29/2021)
RR
New Hampshire(10/29/2021)
RR
New Jersey(10/29/2021)
RR
New Mexico(10/29/2021)
IAR
New Mexico(11/1/2021)
RR
New York(10/29/2021)
RR
North Carolina(10/29/2021)
RR
North Dakota(10/29/2021)
IAR
North Dakota(11/2/2021)
RR
Ohio(10/29/2021)
RR
Oklahoma(10/29/2021)
IAR
Oklahoma(11/2/2021)
RR
Oregon(10/29/2021)
RR
Pennsylvania(10/29/2021)
RR
Puerto Rico(10/29/2021)
RR
Rhode Island(10/29/2021)
IAR
Rhode Island(11/3/2021)
RR
South Carolina(10/29/2021)
IAR
South Carolina(11/1/2021)
RR
South Dakota(10/29/2021)
RR
Tennessee(10/29/2021)
RR
Texas(10/29/2021)
IAR
Texas(10/30/2021)
RR
Utah(10/29/2021)
RR
Vermont(10/29/2021)
RR
Virgin Islands(10/29/2021)
RR
Virginia(10/29/2021)
IAR
Virginia(11/1/2021)
RR
Washington(10/29/2021)
RR
West Virginia(10/29/2021)
RR
Wisconsin(5/9/2016)
IAR
Wisconsin(5/9/2016)
RR
Wyoming(10/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General 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.
