BA
Brett A. Argall
VOYA FINANCIAL ADVISORS
Douglas, MA
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CRD#: 7288241
BA
Professional summary
Brett Alan Argall is a registered financial advisor currently at VOYA FINANCIAL ADVISORS, INC. located in Douglas, Massachusetts.
Brett is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Brett has worked at 1 firm and has passed the Series 66, Series 7TO and SIE 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.
NAME OF ENTITY:Christina Menard; Yes; 15 Manchaug Street; Douglas; MA; 01516; Administrative Support; Administrative; 8/1/2020; 80; 80; Assist with calendar, VMZ marketing & reporting, admin duties, and learning about products and services|NAME OF ENTITY: Independent Insurance Agent; Yes; 15 Manchaug Street; Douglas; MA; 01506; Fixed Insurance Sales; Independent Insurance Agent; 6/21/2021; 160; 160; Sales of Fixed Insurance Products|NAME OF ENTITY:Douglas Public Schools; No; 21 Davis Street; Douglas; MA; 01516; Coach girls Junior Varsity Volleyball team; Jr Varsity Volleyball Coach; 7/1/2022; 30; 15; Run practices, clinics and coach games| DOUGLAS ATHLETIC BOOSTERS POSITION: President NATURE: The organization's purpose is to raise and distribute funds in support of the Athletic Programs at the Middle School and High School in Douglas, MA. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2025 ADDRESS: 33 Davis Street, Douglas MA 01516, United States DESCRIPTION: As President, I lead our monthly board meetings and coordinate the activities of the other board members. I also represent the organization at various school functions. Major responsibility is the organization of the annual fundraising golf tournament that the Boosters puts on. DOUGLAS PUBLIC SCHOOLS POSITION: Volleyball Coach NATURE: Coach girls Volleyball teams across Middle School and High School INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 20 START DATE: 07/01/2022 ADDRESS: 21 Davis Street, Douglas MA 01516, United States DESCRIPTION: Run practices, clinics and coach games
CRS (Client Relationship Summary) - RIA
Click below to view Brett Alan Argall's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Brett Alan Argall'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 7, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Douglas, MA
Current
April 7, 2021 - Present
VOYA FINANCIAL ADVISORS, INC.
RIA
BD
CRD#: 2882
Douglas, MA
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
Connecticut(7/19/2021)
RR
Delaware(1/4/2022)
RR
Florida(8/2/2023)
RR
Massachusetts(6/18/2021)
IAR
Massachusetts(7/7/2021)
RR
Rhode Island(9/13/2021)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/7/2021
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
