Joyce A. Browning
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.
Joyce Ann Browning, who also goes by Joyce Browning, Joyce A Cushing, Joyce Ann Cushing, Joyce A Harden, was a registered financial professional .
Joyce is a previously registered financial professional and started their career in finance in 1978. Joyce had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 5 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2011 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
December 22, 2010 - December 31, 2014
VOYA FINANCIAL ADVISORS, INC.
February 25, 2003 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
October 15, 1993 - December 31, 2010
VOYA FINANCIAL PARTNERS, LLC
May 28, 1987 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
December 17, 1979 - December 23, 1986
KEYBANC CAPITAL MARKETS INC.
October 12, 1978 - November 1, 1979
PRESCOTT, BALL & TURBEN, INC.
June 26, 1978 - October 18, 1978
RONEY & CO. L.L.C.
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/22/1981
Interest Rate Options ExaminationCurrent Firm
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
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.
