NP
Nathan F. Paulsen
VOYA INVESTMENT MANAGEMENT CO. LLC
Waukee, IA
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CRD#: 6798703
NP
Professional summary
Nathan Frederick Paulsen is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in Waukee, Iowa and VOYA INVESTMENTS DISTRIBUTOR, LLC located in Las Vegas, Nevada.
Nathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nathan has worked at 4 firms and has passed the Series 66, Series 7TO and SIE 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.
Prevent Child Abuse Iowa/Non-investment related/501 SW 7t St. Des Moines, IA 50309/Board Member/start date - 1/1/2022/approximately 4 hours devoted to this other business/member of non-profit
CRS (Client Relationship Summary) - RIA
Click below to view Nathan Frederick Paulsen'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
February 9, 2023 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
RIA
CRD#: 106494
Waukee, IA
Current
February 9, 2023 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
BD
CRD#: 37886
Las Vegas, NV
Past
May 19, 2022 - December 31, 2022
PRINCIPAL ASSET MANAGEMENT
RIA
CRD#: 109002
Des Moines, IA
Past
January 21, 2022 - December 31, 2022
PRINCIPAL FUNDS DISTRIBUTOR, INC.
BD
CRD#: 43261
DES MOINES, IA
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(2/9/2023)
RR
Alaska(2/9/2023)
RR
Arizona(2/9/2023)
RR
Arkansas(2/9/2023)
RR
California(2/9/2023)
RR
Colorado(2/9/2023)
RR
Connecticut(2/9/2023)
RR
Delaware(2/9/2023)
RR
District of Columbia(2/9/2023)
RR
Florida(2/9/2023)
RR
Georgia(2/9/2023)
RR
Hawaii(2/9/2023)
RR
Idaho(2/9/2023)
RR
Illinois(2/9/2023)
RR
Indiana(2/9/2023)
RR
Iowa(2/9/2023)
IAR
Iowa(2/9/2023)
RR
Kansas(2/9/2023)
RR
Kentucky(2/9/2023)
RR
Louisiana(2/9/2023)
RR
Maine(2/9/2023)
RR
Maryland(2/9/2023)
RR
Massachusetts(2/9/2023)
RR
Michigan(2/9/2023)
RR
Minnesota(2/9/2023)
RR
Mississippi(2/9/2023)
RR
Missouri(2/9/2023)
RR
Montana(2/9/2023)
RR
Nebraska(2/9/2023)
RR
Nevada(2/9/2023)
RR
New Hampshire(2/9/2023)
RR
New Jersey(2/9/2023)
RR
New Mexico(2/9/2023)
RR
New York(2/9/2023)
RR
North Carolina(2/9/2023)
RR
North Dakota(2/9/2023)
RR
Ohio(2/10/2023)
RR
Oklahoma(2/9/2023)
RR
Oregon(2/9/2023)
RR
Pennsylvania(2/9/2023)
RR
Puerto Rico(2/9/2023)
RR
Rhode Island(2/9/2023)
RR
South Carolina(2/9/2023)
RR
South Dakota(2/9/2023)
RR
Tennessee(2/9/2023)
RR
Texas(2/9/2023)
RR
Utah(2/9/2023)
RR
Vermont(2/9/2023)
RR
Virgin Islands(2/9/2023)
RR
Virginia(2/9/2023)
RR
Washington(2/9/2023)
RR
West Virginia(2/9/2023)
RR
Wisconsin(2/9/2023)
RR
Wyoming(2/9/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/21/2022
General Securities Representative ExaminationGeneral 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.
