Articles Tagged with Voya Financial Advisors

James UnderhillPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on March 1, 2019 indicate that Arizona-based Voya Financial Advisors broker/adviser James Underhill has received a customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Underhill (CRD# 2848252).

James Underhill has spent 22 years in the securities industry and has been registered with Voya Financial Advisors in Tucson, Arizona since 2004. He was previously registered with Locust Street Securities in Des Moines, Iowa (1997-2004). He has passed six securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on October 13, 1998; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 6, 1997; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on August 8, 1998; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on February 5, 1997; and Series 24 (General Securities Principal Examination), which he obtained on December 19, 2001. He is a registered broker and investment adviser with 33 US states and territories.

According to his BrokerCheck report, he has received one customer complaint and one denied customer complaint.

Kevin OgdenPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 1, 2019 indicate that Illinois-based Voya Financial Advisors broker Kevin Ogden has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Ogden (CRD# 1051356).

Kevin Ogden has spent 35 years in the securities industry and has been registered with Voya Financial Advisors in Springfield, Illinois since 2004. Previous registrations include Locust Street Securities in Des Moines, Iowa (1988-2004) and WS Griffith & Company (1983-1988). He has passed six industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 17, 1993; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 7 (General Securities Representative Examination), which he obtained on October 30, 2002; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on August 22, 1995; Series 22 (Direct Participation Programs Representative Examination), which he obtained on June 16, 1983; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 19, 2000. He is a registered broker with 17 US states and territories: Alabama, Alaska, Arizona, Arkansas, California, Colorado, Florida, Illinois, Indiana, Iowa, Kentucky, Michigan, Missouri, New Mexico, South Carolina, Texas, and Wisconsin.

According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.

Paul LemacksPublic records published by the Financial Industry Regulatory Authority (FINRA) and accessed on October 30, 2018 indicate that former Virginia-based Voya Financial Advisors broker Paul Lemacks was recently terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lemacks (CRD# 1019720).

Paul Lemacks has spent 18 years in the securities industry and was most recently registered with Voya Financial Advisors in Richmond, Virginia (2000-2018). He has no previous registrations. He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 23, 1999; SIE (Securities Industry Essentials Examination), which he obtained on August 23, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 22, 200. He is currently not registered with any state, firm, or self-regulatory organization (SRO).

According to his BrokerCheck report, Paul Lemacks was recently discharged from a former employer in connection to alleged rule violations.