LG
Lee Gardella
VOYA INVESTMENT MANAGEMENT CO. LLC
NEW YORK, NY 10166
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CRD#: 7441024
LG
Professional summary
Lee Gardella is a registered financial advisor currently at VOYA INVESTMENT MANAGEMENT CO. LLC located in New York, New York and VOYA INVESTMENTS DISTRIBUTOR, LLC located in Atlanta, Georgia.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Lee has worked at 2 firms 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Lee Gardella'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 31, 2023 - Present
VOYA INVESTMENT MANAGEMENT CO. LLC
Office #1: 200 Park Avenue, New York, NY 10166RIA
CRD#: 106494
NEW YORK, NY
Current
March 9, 2022 - Present
VOYA INVESTMENTS DISTRIBUTOR, LLC
Office #1: 5780 Powers Ferry Road Nw, Atlanta, GA 30327BD
CRD#: 37886
Atlanta, GA
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".
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)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
Alabama(2/1/2023)
IAR
Alaska(1/31/2023)
RR
Alaska(2/1/2023)
RR
Arizona(2/1/2023)
IAR
Arizona(2/17/2023)
RR
Arkansas(2/1/2023)
RR
California(2/1/2023)
RR
Colorado(2/1/2023)
RR
Connecticut(2/1/2023)
IAR
Delaware(1/31/2023)
RR
Delaware(2/1/2023)
RR
District of Columbia(2/1/2023)
RR
Florida(2/1/2023)
RR
Georgia(2/1/2023)
IAR
Georgia(2/2/2023)
RR
Hawaii(2/1/2023)
RR
Idaho(2/1/2023)
IAR
Illinois(1/31/2023)
RR
Illinois(2/1/2023)
IAR
Indiana(1/31/2023)
RR
Indiana(2/1/2023)
RR
Iowa(2/1/2023)
RR
Kansas(2/1/2023)
IAR
Kentucky(1/31/2023)
RR
Kentucky(2/1/2023)
IAR
Louisiana(1/31/2023)
RR
Louisiana(2/1/2023)
IAR
Maine(1/31/2023)
RR
Maine(2/2/2023)
RR
Maryland(2/1/2023)
RR
Massachusetts(2/1/2023)
RR
Michigan(2/1/2023)
RR
Minnesota(2/1/2023)
RR
Mississippi(2/1/2023)
RR
Missouri(2/1/2023)
RR
Montana(2/1/2023)
RR
Nebraska(2/1/2023)
RR
Nevada(2/1/2023)
RR
New Hampshire(2/1/2023)
RR
New Jersey(2/1/2023)
RR
New Mexico(2/1/2023)
IAR
New Mexico(2/3/2023)
RR
New York(2/1/2023)
RR
North Carolina(2/1/2023)
RR
North Dakota(2/1/2023)
IAR
North Dakota(2/6/2023)
RR
Ohio(2/1/2023)
IAR
Oklahoma(1/31/2023)
RR
Oklahoma(2/1/2023)
RR
Oregon(2/1/2023)
RR
Pennsylvania(2/1/2023)
RR
Puerto Rico(2/1/2023)
IAR
Rhode Island(1/31/2023)
RR
Rhode Island(2/1/2023)
IAR
South Carolina(1/31/2023)
RR
South Carolina(2/1/2023)
RR
South Dakota(2/1/2023)
RR
Tennessee(2/1/2023)
IAR
Texas(1/31/2023)
RR
Texas(2/1/2023)
RR
Utah(2/1/2023)
RR
Vermont(2/1/2023)
RR
Virgin Islands(2/1/2023)
IAR
Virginia(1/31/2023)
RR
Virginia(2/1/2023)
RR
Washington(2/1/2023)
RR
West Virginia(2/1/2023)
RR
Wisconsin(2/1/2023)
RR
Wyoming(2/1/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 3/9/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
VI
VOYA INVESTMENT MANAGEMENT CO. LLC
AELTUS INVESTMENT MANAGEMENT INC | VOYA U. S. INVESTMENT MANAGEMENT | VOYA INVESTMENT MANAGEMENT CO. LLC | VOYA INVESTMENT MANAGEMENT AMERICAS | VOYA INVESTMENT MANAGEMENT | ING INVESTMENT MANAGEMENT CO. LLC | ING INVESTMENT MANAGEMENT CO. | ING ALTERNATIVE ASSETS | FSIP LLC
CRD#: 106494 / SEC#: 801-9046
RIA
Registered Investment Advisory firm - (1/7/1973 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
200 Park Avenue, New York, NY 10166
Mailing Address
Phone number
(212) 309-8200
Established
Firm type
Fiscal year end
# of Employees
880
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 2,261 |
| AUM (Assets Under Management) | $ 253,808,191,665 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/26/2024 | ||
| 10/26/2023 | ||
| 10/28/2022 |
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.
