JB
James Bermingham
VOYA FINANCIAL ADVISORS
Federal Way, WA
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CRD#: 7199700
JB
Professional summary
James Bermingham, who also goes by James Brendan Bermingham, is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Federal Way, Washington.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. James has worked at 5 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
James Brendan Bermingham
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.
JAMES BERMINGHAM POSITION: Financial Advisor NATURE: fixed insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2023 ADDRESS: 31844 18th ave SW, D, federal way WA 98023, United States DESCRIPTION: Sales of fixed insurance BERMINGHAM CAPITAL LLC POSITION: Owner NATURE: LLC set up for the purpose of being able to hire a NRAP as an administrative assistant for my role as a financial advisor with Voya. This LLC is used for running payroll to pay NRAP admin assistant. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 03/24/2025 ADDRESS: 31844 18th Ave SW, Apt D, FEDERAL WAY WA 98023, United States DESCRIPTION: As owner of this LLC, my primary responsibility is to run payroll to pay for NRAP admin and file any taxes at both state and federal level.
CRS (Client Relationship Summary) - RIA
Click below to view James Bermingham's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Bermingham'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
February 23, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Federal Way, WA
Current
February 1, 2023 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Federal Way, WA
Past
June 14, 2022 - February 17, 2023
HARRISDIRECT LLC
RIA
CRD#: 42159
Kirkland, WA
Past
June 14, 2022 - February 17, 2023
E*TRADE SECURITIES LLC
BD
CRD#: 29106
Kirkland, WA
Past
October 1, 2021 - May 20, 2022
EDWARD JONES
RIA
CRD#: 250
FEDERAL WAY, WA
Past
October 1, 2021 - May 20, 2022
EDWARD JONES
BD
CRD#: 250
FEDERAL WAY, WA
Past
February 22, 2021 - September 30, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
TACOMA, WA
Past
January 20, 2021 - September 30, 2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
TACOMA, WA
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
Alaska(2/1/2023)
RR
Arizona(2/1/2023)
RR
Arkansas(2/1/2023)
RR
California(2/1/2023)
RR
Colorado(2/1/2023)
RR
Florida(1/2/2025)
RR
Georgia(2/1/2023)
RR
Idaho(2/1/2023)
RR
Maryland(1/2/2025)
RR
Massachusetts(2/1/2023)
RR
Minnesota(2/1/2023)
RR
Nevada(2/1/2023)
RR
Oregon(2/1/2023)
RR
Pennsylvania(4/14/2025)
RR
Texas(2/1/2023)
IAR
Texas(4/28/2023)
RR
Utah(2/1/2023)
RR
Virginia(4/14/2025)
RR
Washington(2/1/2023)
IAR
Washington(2/23/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/20/2021
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)
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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.
