Stephen P. Cross
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.
Stephen Philip Cross, who also goes by Stephen P Cross, Steve Cross, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1979. Stephen had worked at 8 firms and has passed the Series 63, SIE 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
January 1, 2004 - October 20, 2015
VOYA FINANCIAL ADVISORS, INC.
January 4, 1999 - January 1, 2004
LOCUST STREET SECURITIES, INC.
November 30, 1994 - December 31, 1998
NATIONAL PLANNING CORPORATION
February 21, 1985 - November 14, 1994
CONSECO FINANCIAL SERVICES, INC.
May 18, 1984 - February 25, 1985
LOWRY FINANCIAL SERVICES CORPORATION
December 29, 1982 - June 8, 1984
NEW ENGLAND SECURITIES
September 18, 1980 - September 11, 1981
NEW ENGLAND SECURITIES
September 26, 1979 - October 16, 1980
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
September 26, 1979 - October 16, 1980
MONY SECURITIES CORPORATION
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: 9/18/1979
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.
