Alan B. Yates

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CRD#: 734959

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.

Alan Burton Yates was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1981. Alan had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

January 3, 2011 - September 15, 2017

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

SARATOGA SPRINGS, NY

Past

October 14, 1998 - January 3, 2011

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

SARATOGA SPRINGS, NY

Past

November 4, 1993 - July 23, 1998

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

January 27, 1993 - August 11, 1993

BERKSHIRE EQUITY SALES, INC.

CRD#: 87

PITTSFIELD, MA

Past

October 22, 1990 - December 31, 1992

AMERICAN CAPITAL CORPORATION

CRD#: 16124

VALLEY FORGE, PA

Past

April 4, 1988 - October 2, 1990

MCGINN, SMITH & CO., INC.

CRD#: 8453

ALBANY, NY

Past

July 1, 1986 - April 12, 1988

VP DISTRIBUTORS LLC

CRD#: 3036

Past

June 19, 1983 - July 20, 1984

AETNA LIFE INSURANCE AND ANNUITY COMPANY

CRD#: 13256

Past

September 20, 1982 - June 23, 1986

MML INVESTORS SERVICES, LLC

CRD#: 10409

Past

December 11, 1981 - September 13, 1985

TOWER SQUARE SECURITIES, INC.

CRD#: 833

Past

July 16, 1981 - June 24, 1986

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

CRD#: 2682

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.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 2/3/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 9/15/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/16/1988

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/14/1981

Investment Company Products/Variable Contracts Representative Examination

Current Firm

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882 / SEC#: 801-46585, 8-13987

RIA

Registered Investment Advisory firm - SEC (7/11/1994 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PART 2A OF FORM ADV: FIRM BROCHURE (12/10/2025)

PART 2A APPENDIX 1 OF FORM ADV: WRAP FEE PROGRAM BROCHURE (12/10/2025)

PART 2A APPENDIX OF FORM ADV: INVESTOR CHANNEL WRAP FEE PROGRAM BROCHURE (12/10/2025)

Direct owners and executive officers

Name	Position	CRD#
VOYA HOLDINGS INC.	100% SHAREHOLDER
BOHN, FREDERICK HENRY	CHIEF FINANCIAL OFFICER	5791728
DEPRATTI, JOHN J	VP, OPERATIONS PRINCIPAL	2927917
PAASCH, STEPHAN ANTHONY	CHIEF COMPLIANCE OFFICER	2968516
REILLY, JONATHAN FRANCIS	PRESIDENT	2039032

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.

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Alan B. Yates

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

BERKSHIRE EQUITY SALES, INC.

AMERICAN CAPITAL CORPORATION

MCGINN, SMITH & CO., INC.

VP DISTRIBUTORS LLC

AETNA LIFE INSURANCE AND ANNUITY COMPANY

MML INVESTORS SERVICES, LLC

TOWER SQUARE SECURITIES, INC.

MASSACHUSETTS MUTUAL LIFE INSURANCE COMPANY

Primary Firm SEC Registration

VOYA FINANCIAL ADVISORS, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 2/3/2000

SIE

Date: 9/15/2017

Series 7

Date: 4/16/1988

Series 6

Date: 7/14/1981

Current Firm

VOYA FINANCIAL ADVISORS, INC.

Contact information

SEC notice filing (53 States and Territories)

FINRA licenses (53 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

VOYA FINANCIAL ADVISORS, INC.

TRUST BUT VERIFY

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