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Niccole A. Thomas-henke

VOYA FINANCIAL ADVISORS
Windsor, CT 06095
Some features on this profile are disabled
CRD#: 7705610
NT

Professional summary

Niccole Amanda Thomas-henke, who also goes by Niccole Amanda Thomas-marshall, is a registered financial professional currently at VOYA FINANCIAL ADVISORS, INC. located in Windsor, Connecticut and VOYA INVESTMENTS DISTRIBUTOR, LLC located in Atlanta, Georgia.

Niccole is registered as a RR (Registered Representative) and started their career in finance in 2023. Niccole has worked at 3 firms and has passed the Series 99TO and SIE exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Niccole Amanda Thomas-Marshall

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) - BD

Click below to view Niccole Amanda Thomas-henke'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®
None

Experience

Current

August 7, 2023 - Present

VOYA FINANCIAL ADVISORS, INC.

Office #1: One Orange Way, Windsor, CT 06095
RIA
BD
CRD#: 2882
Windsor, CT
Current

August 16, 2023 - Present

VOYA INVESTMENTS DISTRIBUTOR, LLC

Office #1: 5780 Powers Ferry Road Nw, Atlanta, GA 30327
BD
CRD#: 37886
Atlanta, GA
Current

August 16, 2023 - Present

VOYA FINANCIAL PARTNERS, LLC

Office #1: One Orange Way, Windsor, CT 06095
BD
CRD#: 34815
Windsor, CT

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.

Exams

General Industry/Product Exam
RR
Series 99TO
Date: 8/5/2023
Operations Professional Examination
General Industry/Product Exam
RR
SIE
Date: 7/24/2023
Securities Industry Essentials Examination
SRO Registrations
RR
FINRA

Current Firm

VF
VOYA FINANCIAL PARTNERS, LLC
AETNA INVESTMENT SERVICES LLC | VOYA FINANCIAL PARTNERS, LLC | ING FINANCIAL ADVISERS, LLC | AETNA INVESTMENT SERVICES, LLC | AETNA INVESTMENT SERVICES, INC.

CRD#: 34815 / SEC#: 801-57637, 8-46451

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
PREMIUM
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Contact information

Main Address
One Orange Way, C2n, Windsor, CT 06095
Mailing Address
One Orange Way, Windsor, CT 06095
Phone number
(860) 275-2110
Established
Delaware since 11/27/2000
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
55

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Latest Form ADV

Part 2 Brochures

VOYA FINANCIAL PARTNERS, LLC - FORM ADV PART 2A BROCHURE (3/31/2023)

Direct owners and executive officers

NamePositionCRD#
VOYA RETIREMENT INSURANCE AND ANNUITY COMPANYPARENT
BOHN, FREDERICK HENRYCHIEF FINANCIAL OFFICER5791728
EASTON, STEPHEN JOSEPHCHIEF COMPLIANCE OFFICER3150168
ELMSLIE, WILLIAM PETERMANAGING DIRECTOR1970014

Disclosures

Regulatory Event7

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.

Company Information

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815Windsor, CT 06095

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