Robert J. Voeste
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Robert Jay Voeste was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1980. Robert had worked at 10 firms and has passed the Series 63, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2015 - March 14, 2017
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
June 3, 2015 - September 4, 2015
VOYA FINANCIAL PARTNERS, LLC
February 15, 2012 - June 3, 2015
VOYA FINANCIAL ADVISORS, INC.
September 5, 2008 - August 15, 2013
VOYA FINANCIAL PARTNERS, LLC
September 1, 2006 - September 3, 2008
VOYA RETIREMENT ADVISORS, LLC
October 5, 2005 - September 1, 2006
CITISTREET EQUITIES LLC
March 25, 2003 - October 4, 2005
JOHN HANCOCK DISTRIBUTORS LLC
January 10, 2002 - November 20, 2002
HIMCO DISTRIBUTION SERVICES COMPANY
March 1, 1999 - August 23, 2001
CITISTREET EQUITIES LLC
February 10, 1994 - January 5, 1999
BA INVESTMENT SERVICES, INC.
June 29, 1993 - December 20, 1993
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 8, 1987 - December 20, 1993
TRANSAMERICA SECURITIES SALES CORPORATION
February 22, 1980 - December 21, 1989
TRANSAMERICA FINANCIAL ADVISORS, INC.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 2/4/1980
Registered Representative ExaminationCurrent Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
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.
