TH
Therese M. Herzog
VOYA FINANCIAL ADVISORS
FAIRVIEW, TN
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CRD#: 7207738
TH
Professional summary
Therese Marie Herzog is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Fairview, Tennessee.
Therese is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Therese has worked at 3 firms and has passed the Series 66, Series 52TO, Series 7TO, SIE, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. NAME OF OTHER BUSINESS: AMERICAN FINANCIAL CONCEPTS CORP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: FINANCIAL SERVICES START DATE: 12/2019 POSITION/TITLE/RELATIONSHIP: ADMINISTRATIVE APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: OSJ SUPPORT;
CRS (Client Relationship Summary) - RIA
Click below to view Therese Marie Herzog's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Therese Marie Herzog'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
January 14, 2025 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
FAIRVIEW, TN
Current
February 20, 2024 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
West Des Moines, IA
Past
June 29, 2023 - December 26, 2023
CETERA INVESTMENT ADVISERS LLC
RIA
CRD#: 105644
PASADENA, CA
Past
August 6, 2020 - June 29, 2023
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
PASADENA, CA
Past
June 9, 2020 - December 26, 2023
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
PASADENA, CA
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
Tennessee(2/20/2024)
IAR
Tennessee(1/14/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 6/21/2021
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 7TO
Date: 6/9/2020
General Securities Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
