John R. Arnold

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CRD#: 5918539

Professional summary

John Richard Arnold was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

John Richard Arnold was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 2011. John had worked at 9 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 2, 2018 - July 1, 2019

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

University Place, WA

Past

September 18, 2018 - July 1, 2019

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

University Place, WA

Past

February 14, 2018 - October 3, 2018

LPL FINANCIAL LLC

RIA

CRD#: 6413

UNIVERSITY PLACE, WA

Past

February 14, 2018 - October 3, 2018

LPL FINANCIAL LLC

CRD#: 6413

UNIVERSITY PLACE, WA

Past

March 22, 2017 - February 14, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

UNIVERSITY PLACE, WA

Past

March 22, 2017 - February 14, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

UNIVERSITY PLACE, WA

Past

September 25, 2015 - March 7, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

Tacoma, WA

Past

September 25, 2015 - March 7, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

Tacoma, WA

Past

February 13, 2015 - September 30, 2015

EDWARD JONES

RIA

CRD#: 250

RUSTON, WA

Past

February 13, 2015 - September 30, 2015

EDWARD JONES

CRD#: 250

RUSTON, WA

Past

March 28, 2014 - February 18, 2015

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

TACOMA, WA

Past

March 21, 2014 - February 18, 2015

NYLIFE SECURITIES LLC

CRD#: 5167

TACOMA, WA

Past

July 22, 2013 - February 24, 2014

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

SEATTLE, WA

Past

March 26, 2013 - February 24, 2014

MML INVESTORS SERVICES, LLC

CRD#: 10409

SEATTLE, WA

Past

July 9, 2012 - March 11, 2013

EDWARD JONES

RIA

CRD#: 250

TACOMA, WA

Past

July 9, 2012 - March 11, 2013

EDWARD JONES

CRD#: 250

TACOMA, WA

Past

September 26, 2011 - May 4, 2012

MORGAN STANLEY

RIA

CRD#: 149777

FEDERAL WAY, WA

Past

July 25, 2011 - May 4, 2012

MORGAN STANLEY

CRD#: 149777

FEDERAL WAY, WA

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.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 9/24/2011

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/24/2011

General Securities Representative Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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.

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John R. Arnold

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL ADVISORS, INC.

LPL FINANCIAL LLC

LPL FINANCIAL LLC

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

EDWARD JONES

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

EDWARD JONES

EDWARD JONES

MORGAN STANLEY

MORGAN STANLEY

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 66

Date: 9/24/2011

SIE

Date: 10/1/2018

Series 7

Date: 7/24/2011

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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