SB
Simone S. Bauer
VOYA FINANCIAL ADVISORS
Lafayette, LA 70503
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CRD#: 5906474
SB
Professional summary
Simone Schaubert Bauer, who also goes by Simone Schaubert Blanchard, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Lafayette, Louisiana.
Simone is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Simone has worked at 3 firms and has passed the Series 63, Series 65, Series 7TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Simone Schaubert Blanchard
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 106 OIL CENTER DR STE 102E; LAFAYETTE; LA; 70503; FIXED INSURANCE SALES; INDEPENDENT INSURANCE AGENT; 3/21/2014; 80; 60; SALE OF FIXED INSURANCE PRODUCTS|NAME OF ENTITY:SBauer Financials; Yes; 106 Oil Center Drive, Suite 102E; Lafayette; LA; 70503; FINANCIAL SERVICES/DBA; Investment Advisor Representative; 10/1/2018; 200; 37.5; SALE AND SERVICE INSURANCE, SECURITIES AND INVESTMENT PRODUCTS.| BAUER CONTRACTING INC POSITION: Bookkeeper NATURE: My husband has a small tile installation business and I needed help with his books and records and for tax purposes he is paying me $300 per month to assist. INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 02/28/2023 ADDRESS: P O Box 271, Erath LA 70533, United States DESCRIPTION: Bookkeeper
CRS (Client Relationship Summary) - RIA
Click below to view Simone Schaubert Bauer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Simone Schaubert Bauer'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
March 27, 2014 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 106 Oil Center Dr Ste 102e, Lafayette, LA 70503RIA
BD
CRD#: 2882
Lafayette, LA
Current
March 21, 2014 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: 106 Oil Center Dr Ste 102e, Lafayette, LA 70503RIA
BD
CRD#: 2882
Lafayette, LA
Past
May 22, 2012 - March 31, 2014
STRATEGIC FINANCIAL CONCEPTS, LLC
RIA
CRD#: 141849
LAFAYETTE, LA
Past
May 21, 2012 - May 22, 2012
LPL FINANCIAL LLC
RIA
CRD#: 6413
LAFAYETTE, LA
Past
June 20, 2011 - March 28, 2014
LPL FINANCIAL LLC
BD
CRD#: 6413
LAFAYETTE, LA
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
Alabama(1/4/2023)
RR
Alaska(7/29/2024)
RR
Arizona(6/7/2021)
RR
Arkansas(1/4/2023)
RR
California(9/16/2021)
RR
Colorado(1/4/2023)
RR
Florida(5/25/2023)
RR
Indiana(6/2/2025)
RR
Louisiana(3/21/2014)
IAR
Louisiana(3/27/2014)
RR
Mississippi(6/2/2025)
RR
Missouri(4/23/2020)
RR
New Mexico(2/28/2020)
RR
New York(11/8/2024)
IAR
New York(11/12/2024)
RR
North Carolina(3/15/2024)
RR
Ohio(6/3/2025)
RR
Oklahoma(9/24/2020)
RR
Tennessee(4/14/2023)
RR
Texas(6/19/2020)
IAR
Texas(6/22/2020)
RR
Virginia(6/2/2025)
RR
Wyoming(6/11/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 8/14/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
Company Information
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882Lafayette, LA 70503TRUST BUT VERIFY
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