RC
Regan E. Calvert
VOYA FINANCIAL ADVISORS
Monticello, WI
Some features on this profile are disabled
CRD#: 7026097
RC
Professional summary
Regan E Calvert, who also goes by Regan Elise Calvert, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Monticello, Wisconsin.
Regan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Regan has worked at 2 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Regan Elise Calvert
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.
1. 08/26/2019 - Investment Services at UW Credit Union - DBA for LPL Business (entity for LPL business) - inv rel - at reported business location(s)- start: 01/2019 2. 2/28/2020 - Madison Turners - Not Investment Related - 3001 S Stoughton Road, Madison, WI 53716 - Outside/W-2 Employment - Gymnastics Teacher - Start Date: 03/11/2020 - 12 Hours Per Month/0 Hours During Securities Trading - Instructing children's recreational gymnastic classes at Madison Turners. 3. 5/19/2021 - UW Credit Union - Not Investment Related - 3500 University Avenue Madison, WI 53705 - Tax Prep/Accounting/CPA - Start Date: 2/9/2021 - 8 Hours Per Month/1 Hours During Securities Trading - Service UW Health employees by preparing tax returns. 4. 09/20/2022 - Wealth Management at UW Credit Union - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 10/01/2022 - 160 Hours Per Month/160 Hours During Securities Trading
CRS (Client Relationship Summary) - RIA
Click below to view Regan E Calvert's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Regan E Calvert'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
May 30, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Monticello, WI
Current
May 26, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #1: One Orange Way, Windsor, CT 06095RIA
BD
CRD#: 2882
Windsor, CT
Past
November 6, 2019 - May 23, 2023
LPL FINANCIAL LLC
RIA
CRD#: 6413
MADISON, WI
Past
September 12, 2019 - May 23, 2023
LPL FINANCIAL LLC
BD
CRD#: 6413
MADISON, WI
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
Connecticut(10/31/2024)
IAR
Connecticut(11/22/2024)
RR
Wisconsin(5/26/2023)
IAR
Wisconsin(5/30/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 9/12/2019
General Securities Representative ExaminationGeneral 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
