Richard D. Tarp
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.
Richard Donald Tarp was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 1, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 28, 2016 - October 3, 2016
VOYA RETIREMENT ADVISORS, LLC
March 28, 2016 - June 18, 2018
DIRECTED SERVICES LLC
March 28, 2016 - September 18, 2018
VOYA FINANCIAL PARTNERS, LLC
March 28, 2016 - September 18, 2018
VOYA FINANCIAL ADVISORS, INC.
March 28, 2016 - September 18, 2018
SLD AMERICA EQUITIES, INC.
December 17, 2015 - March 10, 2016
VALIC FINANCIAL ADVISORS, INC.
December 17, 2015 - March 10, 2016
VALIC FINANCIAL ADVISORS, INC.
December 24, 2014 - March 23, 2016
OSAIC SERVICES, INC.
December 24, 2014 - March 23, 2016
OSAIC WEALTH, INC.
December 24, 2014 - March 23, 2016
FSC SECURITIES CORPORATION
December 24, 2014 - March 23, 2016
OSAIC SERVICES, INC.
December 24, 2014 - March 23, 2016
OSAIC WEALTH, INC.
December 24, 2014 - March 23, 2016
FSC SECURITIES CORPORATION
January 29, 2014 - March 23, 2016
WOODBURY FINANCIAL SERVICES, INC.
December 21, 2011 - March 23, 2016
WOODBURY FINANCIAL SERVICES, INC.
June 28, 2011 - October 7, 2011
THRIVENT INVESTMENT MANAGEMENT INC.
August 12, 2004 - July 3, 2006
IDS LIFE INSURANCE COMPANY
August 12, 2004 - April 13, 2011
AMERIPRISE FINANCIAL SERVICES, LLC
October 20, 1980 - June 22, 2004
EQUITABLE ADVISORS, LLC
March 20, 1980 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
Primary Firm SEC Registration
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
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: 3/15/1980
Registered Representative ExaminationCurrent Firm
VOYA RETIREMENT ADVISORS, LLC
CRD#: 3989 / SEC#: 801-57963, 8-14495
Contact information
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,160 |
| AUM (Assets Under Management) | $ 30,885,140,490 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/18/2024 | ||
| 01/26/2024 | ||
| 01/27/2023 |
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.
