Leo H. Cook

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CRD#: 859752

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.

Leo Harry Cook was a registered financial professional .

Leo is a previously registered financial professional and started their career in finance in 1978. Leo had worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 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

April 7, 2008 - October 31, 2017

VOYA INVESTMENT MANAGEMENT CO. LLC

RIA

CRD#: 106494

DUNWOODY, GA

Past

August 10, 2004 - October 31, 2017

VOYA INVESTMENTS DISTRIBUTOR, LLC

CRD#: 37886

SCOTTSDALE, AZ

Past

April 30, 2004 - May 18, 2004

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

April 30, 2004 - May 18, 2004

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

MINNEAPOLIS, MN

Past

January 4, 1993 - March 5, 2004

ALLIANCEBERNSTEIN INVESTMENTS, INC.

CRD#: 14549

NASHVILLE, TN

Past

October 1, 1990 - November 20, 1992

WACHOVIA SECURITIES, INC.

CRD#: 431

CHARLOTTE, NC

Past

November 27, 1978 - October 12, 1990

PRUDENTIAL EQUITY GROUP, LLC

CRD#: 7471

NEW YORK, NY

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 INVESTMENT MANAGEMENT CO. 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.

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

IAR

Series 66

Date: 2/27/2008

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 2/12/1980

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/31/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 11/18/1978

General Securities Representative Examination

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

CRD#: 106494 / SEC#: 801-9046

RIA

Registered Investment Advisory firm - (1/7/1973 Approved)

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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)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

VOYA INVESTMENT MANAGEMENT CO. LLC FORM ADV PART 2A 8.4.25 (8/5/2025)

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
12/05/2025	Cover Page	Report
11/26/2024	Cover Page	Report
10/26/2023	Cover Page	Report

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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Advisor Monitoring

Firm Stability Insights

Leo H. Cook

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

VOYA INVESTMENTS DISTRIBUTOR, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

ALLIANCEBERNSTEIN INVESTMENTS, INC.

WACHOVIA SECURITIES, INC.

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

VOYA INVESTMENT MANAGEMENT CO. LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/27/2008

Series 63

Date: 2/12/1980

SIE

Date: 10/31/2017

Series 7

Date: 11/18/1978

Current Firm

VOYA INVESTMENT MANAGEMENT CO. LLC

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

VOYA INVESTMENT MANAGEMENT CO. LLC

TRUST BUT VERIFY

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