SC
Stephan J. Coles
VOYA FINANCIAL ADVISORS
Boynton Beach, FL
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CRD#: 709672
SC
Professional summary
Stephan James Coles, who also goes by Steve Coles, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Boynton Beach, Florida.
Stephan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1980. Stephan has worked at 7 firms and has passed the Series 63, Series 6TO, SIE, Series 7 and Series 1 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Steve Coles
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.
NAME OF ENTITY: INDEPENDENT INSURANCE AGENT; Yes; 23 STRATFORD DRIVE #E; BOYNTON BEACH; FL; 33436; Fixed Insurance Sales; INDEPENDENT INSURANCE AGENT; 8/10/2010; 2; 2; selling fixed annuities and life sales with various companies|
CRS (Client Relationship Summary) - RIA
Click below to view Stephan James Coles's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Stephan James Coles'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
July 23, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: One Huntington Quadrangle Ste 1c01, Melville, NY 11747RIA
BD
CRD#: 2882
Boynton Beach, FL
Current
January 3, 2011 - Present
VOYA FINANCIAL ADVISORS, INC.
Office #2: One Huntington Quadrangle Ste 1c01, Melville, NY 11747RIA
BD
CRD#: 2882
Boynton Beach, FL
Past
May 13, 2021 - March 8, 2024
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
MELVILLE, NY
Past
October 15, 1993 - January 3, 2011
VOYA FINANCIAL PARTNERS, LLC
BD
CRD#: 34815
MELVILLE, NY
Past
January 1, 1989 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
BD
CRD#: 13256
HARTFORD, CT
Past
May 22, 1985 - October 22, 1990
GREEN HILL FINANCIAL SERVICE CORPORATION
BD
CRD#: 4882
Past
April 24, 1985 - May 1, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
August 9, 1983 - February 20, 1985
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
Past
April 18, 1983 - July 11, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
BD
CRD#: 2873
NEW YORK, NY
Past
June 4, 1980 - October 13, 1981
LINCOLN FINANCIAL DISTRIBUTORS, INC.
BD
CRD#: 145
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
California(7/14/2025)
RR
Connecticut(7/14/2025)
RR
Florida(1/3/2011)
RR
Georgia(7/14/2025)
RR
Illinois(7/14/2025)
RR
New Hampshire(7/14/2025)
RR
New Jersey(1/3/2011)
RR
New York(1/3/2011)
IAR
New York(7/23/2024)
RR
Pennsylvania(7/14/2025)
RR
South Carolina(7/14/2025)
RR
Wyoming(7/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 1
Date: 5/15/1980
Registered Representative ExaminationSRO 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)
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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.
