CB
Connor J. Berkery
VOYA FINANCIAL ADVISORS
Seattle, WA
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CRD#: 6202056
CB
Professional summary
Connor J Berkery, who also goes by Connor J Berkery, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Seattle, Washington.
Connor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Connor has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Connor J Berkery
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.
RENTAL PROPERTY POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 02/01/2022 ADDRESS: Seattle WA, United States DESCRIPTION: Owner of Rental Property CONNOR BERKERY POSITION: Independent Insurance Agent NATURE: fixed life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 08/11/2025 ADDRESS: 21821 93rd ave w, edmonds WA 98020, United States DESCRIPTION: I want to sell myself a term life insurance policy
CRS (Client Relationship Summary) - RIA
Click below to view Connor J Berkery's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Connor J Berkery'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
April 30, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Seattle, WA
Current
April 22, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Seattle, WA
Past
September 8, 2023 - April 23, 2024
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BELLEVUE, WA
Past
August 29, 2023 - April 23, 2024
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
BELLEVUE, WA
Past
March 10, 2023 - August 14, 2023
MORGAN STANLEY
BD
CRD#: 149777
Kirkland, WA
Past
July 21, 2022 - August 14, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
Seattle, WA
Past
July 21, 2022 - August 14, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
JERSEY CITY, NJ
Past
August 4, 2015 - July 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
SEATTLE, WA
Past
August 4, 2015 - July 9, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
SEATTLE, WA
Past
January 22, 2015 - July 9, 2015
BERKERY NOYES SECURITIES, LLC
BD
CRD#: 155918
NEW YORK, NY
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
California(5/2/2024)
RR
Iowa(5/2/2024)
RR
Texas(5/2/2024)
IAR
Texas(5/2/2024)
RR
Washington(4/22/2024)
IAR
Washington(4/30/2024)
Exams
State Security Law Exam
State Security Law Exam
General 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.
