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SS

Sean M. Steele

VOYA FINANCIAL PARTNERS
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 7004304
SS

Professional summary

Sean Michael Steele, who also goes by Sean M Steele, Sean Steele, is a registered financial professional currently at VOYA FINANCIAL PARTNERS, LLC located in Windsor, Connecticut.

Sean is registered as a RR (Registered Representative) and started their career in finance in 2018. Sean has worked at 4 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Sean M Steele | Sean Steele

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.
EMPLOYEE OF THE VANGUARD GROUP, INC (PARENT COMPANY OF VANGUARD MARKETING CORPORATION) 100 VANGUARD BLVD, MALVERN, PA 19355 NAME OF BUSINESS: Love our Furry Friends Shopify Pet Store NON-INVESTMENT RELATED: ADDRESS: Tempe, AZ NATURE OF BUSINESS: Dog products POSITION: Owner START DATE: 8/2021 APPROX. HOURS/MONTH: 5 HOURS DEVOTED DURING TRADING HOURS: 0 DUTIES: General business NAME OF BUSINESS: RENTAL PROPERTY INVESTMENT-RELATED: ADDRESS: Mesa, AZ POSITION: LANDLORD/OWNER START DATE: 10/2021 APPROXIMATE HOURS/MONTH: 2 HOURS DEVOTED DURING TRADING HOURS: 0

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Sean Michael Steele'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®
None

Experience

Current

June 17, 2022 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095
BD
CRD#: 34815
Windsor, CT
Past

October 13, 2021 - May 20, 2022

VANGUARD ADVISERS, INC.

RIA
CRD#: 106715
Scottsdale, AZ
Past

July 30, 2021 - May 20, 2022

VANGUARD MARKETING CORPORATION

BD
CRD#: 7452
SCOTTSDALE, AZ
Past

August 28, 2018 - July 30, 2020

COREBRIDGE CAPITAL SERVICES, INC.

BD
CRD#: 13158
WOODLAND HILLS, CA

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
Arizona
(6/17/2022)
RR
California
(6/17/2022)
RR
Oregon
(6/17/2022)
RR
Washington
(6/17/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 10/11/2021
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 12/21/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/22/2021
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 8/27/2018
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

VF
VOYA FINANCIAL PARTNERS, LLC
AETNA INVESTMENT SERVICES LLC | VOYA FINANCIAL PARTNERS, LLC | ING FINANCIAL ADVISERS, LLC | AETNA INVESTMENT SERVICES, LLC | AETNA INVESTMENT SERVICES, INC.

CRD#: 34815 / SEC#: 801-57637, 8-46451

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
One Orange Way, C2n, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 11/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
55

FINRA licenses (53 States and Territories)

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

Documents

Latest Form ADV

Part 2 Brochures

VOYA FINANCIAL PARTNERS, LLC - FORM ADV PART 2A BROCHURE (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANYPARENT
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
ELMSLIE, WILLIAM PETERMANAGING DIRECTOR1970014

Disclosures

Regulatory Event7

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 PARTNERS, LLC

CRD#: 34815Windsor, CT 06095

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