Clifford V. Struble
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.
Clifford Vernon Struble, who also goes by Clifford V Struble Jr, was a registered financial professional .
Clifford is a previously registered financial professional and started their career in finance in 1982. Clifford had worked at 9 firms and has passed the Series 63 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 26, 2013 - November 12, 2013
VOYA FINANCIAL ADVISORS, INC.
March 20, 2000 - December 7, 2011
PRUCO SECURITIES, LLC.
October 21, 1998 - January 21, 2000
SUMMIT FINANCIAL SERVICES GROUP, INC.
December 21, 1996 - October 21, 1998
FISERV INVESTOR SERVICES, INC.
June 8, 1989 - December 1, 1995
USLIFE EQUITY SALES CORP.
February 17, 1989 - April 19, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
February 17, 1989 - April 19, 1989
EQUITABLE ADVISORS, LLC
November 19, 1985 - February 3, 1989
CONTINENTAL EQUITIES CORPORATION OF AMERICA
September 27, 1982 - January 9, 1984
NYLIFE SECURITIES LLC
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 1
Date: 7/19/1979
Registered Representative 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.
