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CF

Clara M. Fischer

VOYA INVESTMENTS DISTRIBUTOR
NEW YORK, NY 10169
Some features on this profile are disabled
CRD#: 6632578
CF

Professional summary

Clara Mcfeely Fischer, who also goes by Clara Fischer, is a registered financial professional currently at VOYA INVESTMENTS DISTRIBUTOR, LLC located in New York, New York.

Clara is registered as a RR (Registered Representative) and started their career in finance in 2018. Clara has worked at 3 firms and has passed the Series 63, Series 99TO, Series 57TO, Series 87, Series 79TO, Series 7TO, SIE and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Clara Fischer

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 Clara Mcfeely Fischer'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

August 10, 2022 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

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

May 20, 2021 - August 17, 2022

ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC

BD
CRD#: 25567
NEW YORK, NY
Past

December 11, 2018 - May 17, 2021

H.C.WAINWRIGHT & CO., LLC

BD
CRD#: 375
NEW YORK, NY

State Registrations and Notice Filings

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

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
New York
(8/10/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 12/29/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 99TO
Date: 3/28/2024
Operations Professional Examination
General Industry/Product Exam
RR
Series 57TO
Date: 6/21/2019
Securities Trader Exam
General Industry/Product Exam
RR
Series 87
Date: 4/30/2019
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 79TO
Date: 3/29/2019
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 7TO
Date: 12/11/2018
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/13/2018
Securities Industry Essentials Examination
Principal/Supervisory Exam
RR
Series 24
Date: 2/12/2019
General Securities Principal 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)
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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

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