Make your last move to
Voya Financial Advisors, Inc.
For broker-dealer use only. Not to be used with the public.
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Voya Financial Advisors, Inc.
With a vision of becoming America’s
Retirement Company™, Voya
Financial, Inc. — named a 2014
World’s Most Ethical Company®
by the Ethisphere Institute* — is
a leading provider of retirement,
investment and insurance solutions.
As part of the Voya® family of
companies, Voya Financial Advisors
is a top independent broker-dealer
network supporting the guiding
principle centered on advancing the
state of retirement readiness for
millions of Americans.
Independence
Our independent environment gives
you the flexibility to build your practice
without proprietary sales requirements
or restrictive covenants. We offer a
menu of education, engagement,
advice and planning programs
designed specifically for you and the
needs of your clients across life stages
and income levels.
Transparency
As your business partner, we aim to
deliver what you need. Voya Financial
Advisors’ monthly affiliation fee is
$205. We know it’s important to remain
competitive to earn your business.
That’s why we offer cutting-edge tools
and services as part of this fee aimed
at helping you run a more efficient and
profitable business. Here’s what your
money buys:
• Voya WealthSolutions: focused
resources for the advice- and
guidance-based professionals
• Hybrid advisory platform with
sleeve technology allowing multiple
strategists on a common account
with enhanced reporting and a single
statement
For broker-dealer use only.
Not to be used with the public.
• Voya SmartWorks® a Web-based
CRM powered by Salesforce.com
that includes Outlook synch, mobile
access, and CRM integration with
Books and Records
• Online client interface for single-signon access to practice management
resources
• Free historical cost basis on
brokerage accounts
• Focused resources devoted to
research, support and education for
Direct Participation Programs (DPPs)
and/or Real Estate Investment Trusts
(REITs)
• Online audit tool
• Succession planning resources
• Online account opening to make
it faster and easier to process new
business, which includes:
- eSignature
- Docupace imaging
- Electronic check deposit
• MoneyGuide suite
• Morningstar reports
• Forefield
* The World’s Most Ethical Company assessment is based upon the Ethisphere Institute’s Ethics Quotient™ framework.
Developed to assess an organization’s performance in an objective, consistent and standardized way. Scores are
generated and weighted in five categories: ethics and compliance program, reputation, leadership and innovation,
governance, corporate citizenship and responsibility and culture of ethics.
Lead-driving
marketing program
Because we’re truly embedded in
the retirement marketplace, we also
have the distinct opportunity to deliver
a marketing program for qualified
financial advisors with access to more
than five million participants.* Our goal
is to put you in a position to serve
these participants as their trusted
advisor to help improve financial
literacy.
Voya Financial Advisors offers a
comprehensive array of financial
services and products, including
financial and holistic retirement
planning, mutual funds, managed
accounts, life insurance, alternative
investments, institutional investment
management, annuities and more.
* Source: Voya Customer Analytics Center, 2014
Six Pillars of Success
We’d like to partner with you
As a long-standing independent
broker-dealer, we have remained
committed to doing whatever it takes
to help you, our financial partners, run
your day-to-day businesses so you can
focus on managing client relationships.
Our six-pillar success strategy delivers:
Good financial planning centers on a
person’s individual situation, takes all
sources of income into consideration
and lays out a well-defined plan.
Because you are the answer to putting
our belief system into practice, we’ll
give you the dynamic, comprehensive
support you need to grow your practice
and demonstrate value to your clients.
• A strong Advisor Platform with an
online client interface and cloudbased solution that makes it easier
to see and track clients’ complete
financial pictures
• A tailored Service Model that
supports independent practices and
business strategies for growth
• A robust Product Mix and AdviceBased Platform that helps meet the
needs of clients across life stages
and investment complexities
• Practice Management and Training
programs to help generate business
growth and maximize the most
efficient use of your time with clients
• A Retirement Income Planning
program that provides a guided
approach for financial advisors to
create retirement income plans for
clients
• A strong Brand to help promote
independent businesses supported
by America’s Retirement Company™
We’ll help you run your
business your way. That is our
commitment to you.
Ready for your last move?
Call Voya Financial Advisors for a complimentary broker-dealer comparison: 855-698-4900
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
168634 3028950.I.R-2 © 2015 Voya Services Company. All rights reserved. CN#
For broker-dealer use only. Not to be used with the public.
Voya.com
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Advisor platform
Voya Financial Advisors, Inc.’s
commitment to you includes the best
in technology and tools you’ll need
to grow your business. You can take
advantage of our Web-based platform
that provides a clear, organized
view of a client’s complete financial
picture. You’ll be able to organize,
automate, manage and synchronize
your business and client data using
a broad array of powerful technology
applications supported through
an integrated client relationship
management platform. Take a look
at what we offer when you partner
with us.
Voya SmartWorks®
eMoney 360 Pro
A cloud-based client relationship
management (CRM) system allows
you and others in your office to
quickly access and manage client
data seamlessly with a broad array of
financial applications integrated in one
system. Powered by Salesforce.com,
you have access to an industry-leading
CRM system allowing you to stay in
touch with your clients more easily and
effectively. Use it to stay connected
to the news you need to grow your
business and to find information on a
wide range of topics including advisor
solutions, compliance, forms, marketing
resources, training opportunities
and more.
Financial planning Web technology
helps you deliver exceptional service,
attract top-tier prospects and offer
personalized financial planning tools
for potential increased fee revenue.
eMoney gives you the ability to fully
aggregate various aspects of a client’s
savings and personal finances –
including retirement and credit card
accounts, car payments, mortgages,
life insurance and disability coverage
– through a personalized website.
You’ll get data aggregation, advanced
planning, online document storage and
marketing communication tools – all
through one platform.
Voya WealthSolutions
For broker/dealer use only.
Not to be used with the public.
A new advice-based platform to help
meet the changing needs of clients for
every stage of the wealth management
lifecycle, including comprehensive
research and program strategies.
Modern, seamless and flexible
solutions include sleeve technology –
which allows you to manage multiple
strategists within one account – robust
reporting capabilities to track money
manager performance, improved
trading and model management,
proposal generation tools and much
more. Now you have the ability to offer
your clients a unified managed
account (UMA).
MoneyGuidePro®
This full-featured financial planning
and asset allocation program lets you
create holistic financial and retirement
income plans. Build customized plans
in less than 20 minutes, perform sideby-side portfolio comparisons, allocate
client assets in less than 10 minutes
and eliminate manual trial-and-error
scenario testing.
Online Account Opening
Socialware
NetX360™
You and your office staff can process
new accounts electronically with our
online account opening process. It
means less manual entry so you can
focus on your client, not your client
data. Here’s what else it means:
Socialware, an industry leader in
delivering compliant, user-friendly
social media tools for financial
professionals, offers Web-based
and mobile technologies to help you
build and enhance your network
of high-quality connections with
the goal of driving revenue. It’s
a communication platform that
turns everyday conversations into
interactive dialogues between you,
your community, and your current and
prospective clients. Engaging in social
media in a compliant environment can
deliver a rich brand experience integral
to growing your business.
Pershing’s NetX360™ lets you
take advantage of its broad range
of versatile online training tools,
market information, research, alerts
and detailed account information
including activity, trading, position,
annual reports, rate board and more.
NetX360 CRM capabilities include
tracking of all pertinent information on
clients and prospects to help improve
productivity and efficiency, manage
client interactions more effectively, and
gain insight into the behavior and value
of your clients.
• Reduced processing time resulting in
quicker investment of client funds
• Automated forms bundling
• Electronic signature to increase office
efficiency, expand your geographical
boundaries, and help protect your
customer data
• Automated transaction blotters
No matter where you are, in the office
or at a client appointment, you’ll have
information available at your fingertips
to assess your client’s financial
situation and take action.
We’ll help you run your
business your way. That
is our commitment to you.
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Ready for your last move?
Call Voya Financial Advisors for a complimentary broker-dealer comparison: 855-698-4900
www.voyafinancialadvisors.com
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Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Special Note: Qualified accounts (defined as ERISA and IRAs) are not allowed to hold Voya Investments in the UMA. Therefore, GPMM Mutual Fund and ETF programs may not be held
in the qualified accounts. In addition, qualified Advisor Directed sleeves may not hold ING investments. We will oversee these accounts to ensure that this requirement is adhered to.
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Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
168658 3028999.I.R-1 © 2014 Voya Services Company. All rights reserved.
For broker/dealer use only. Not to be used with the public.
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Product mix and advice-based platform
Voya Financial Advisors, Inc. can
help you meet the needs of your
clients across all life stages and
investment complexities. Our tools,
resources and platform give you the
flexibility to address many of your
clients’ financial situations, helping
them to succeed while allowing your
independent business to grow.
Take a look at our product, program and
strategic solutions organized by financial
needs. The solutions build in investment
complexity allowing you to customize the right
mix for your clients.
Simple Solutions
These solutions provide access to individual
securities, mutual funds and 529 plans.
• direct sold mutual funds
• 529 plans
• brokerage accounts
• mutual fund IRA products
Personalized Programs
Personalized programs give you and your
clients access to risk-based portfolios and
income-generating programs.
• mutual fund advisory programs
• ETF advisory programs
• separately managed accounts
• annuities
• life insurance
Sophisticated Strategies
These strategies are advisory programs that
allow you to develop unique, customized
product solution sets for your clients.
• financial professional as portfolio manager
• unified managed account/household
As you can see, we offer multiple ways to meet
the changing needs of your clients.
We give you the programs that enable you to
provide holistic financial planning guidance
regardless of life stage and investment
complexity. Through our broad suite of financial
products and solutions, you have the choice
and flexibility to effectively meet your clients’
financial planning and investment needs.
We’ll help you run your
business your way. That
is our commitment to you.
Ready for your last move?
Call Voya Financial Advisors for a complimentary broker-dealer comparison: 855-698-4900
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
168660 3029001.I.R-1 © 2014 Voya Services Company. All rights reserved.
For broker/dealer use only. Not to be used with the public.
Voya.com
Practice management and training
Voya Financial Advisors, Inc. delivers
the tools and training that help
generate business growth and
maximize the most efficient use of
time with clients. With our marketing,
online tools, conferences and
training, you’ll be able to focus your
efforts on growing your business and
the needs of your clients. Take a look
at what we offer when you partner
with us.
Marketing and Online Tools
Voya Marketing Zone
Our marketing resource that provides
you with an array of customizable,
Voya-branded marketing materials
including e-mails, seminars, invitations,
and presentations that you can
personalize with your business name
and contact information.
Forefield
A sales, education and client
communication tool that allows you
to brand and deliver current, concise
and compliant newsletters, economic
commentaries, marketing campaigns
and more to your clients and prospects.
Personalized Websites
Deliver efficient client services,
prospect for new business and create
a powerful web presence
for your business.
We’ll help you run your
business your way. That
is our commitment to you.
Turnkey Seminars
Educational, professionally-designed
seminars you can present to your
clients or prospects.
Conferences and Training
Programs
For broker-dealer use only.
Not to be used with the public.
Advisor Insight
Our annual national sales conference
where professionals come together to
network, gain product knowledge and
learn advanced selling concepts. You’ll
hear from experts across the industry,
as well as senior leadership across the
company.
Women’s Advisory Network Forum
An annual conference dedicated
solely to issues important to female
financial professionals. Benefit from the
expertise of industry-leading speakers,
senior members of the company, as
well as the opportunity to network with
your peers.
Advisory University
Get comprehensive training on
transitioning your business to an
advisory model. Financial professionals
who qualify will get exclusive coaching
on how to take their business to the
next level to develop and sustain a
profitable, compliant advisory practice.
Advisory Masters
Provides our top investment advisor
representatives with the opportunity
to learn advanced business-building
techniques, hear from industry experts
about the latest trends in running a feebased practice and gain insights about
what we’re delivering next to support
our advisory programs.
Retirement Readiness
Gives eligible financial professionals
the foundation to build and grow their
businesses by improving effectiveness
and proficiency in advice and planning.
Whether in person, on the phone,
or through our webinars, we deliver
comprehensive training on all our
products and services, as well as
retirement income planning training.
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Personalized transitions services
You’ll see that working
with our broker-dealer is a
business-building opportunity.
Transition your business
One-on-one support
Transitioning your business is no
different than moving from one home
to another. It’s involved, it takes a great
deal of planning and there are nuances
you have to get used to as you settle
into your new neighborhood. For the
same reason you would potentially
hire a moving company to help with
the process, Voya Financial Advisors
offers our new financial professionals
personalized transition services
supported by our Transitions Team.
We want to make Voya Financial
Advisors your last move. Once you
decide to join us, we’ll pair you with
a Transitions Case Manager who will
work with you to help move your office
in a timely manner.
Because Voya Financial Advisors
is a financial services powerhouse,
our Transitions Team is experienced
in moving any size or type of office.
Whether your book of business
is retirement, insurance, fee- or
transaction-based or a mix, our team
will customize a transition plan specific
to your practice.
Your Transitions Case Manager will
spend time getting to know your
office and introducing you to people
who can help grow your business.
Licensed individual retirement solution
specialists, an advisory service team,
senior leaders, product development
specialists, market research analysts
and business development managers
are all available to expand your
business-building opportunities.
As you move through the process,
your Transitions Case Manager is
backed by an entire team of specialists
whose goal is to make your move to
Voya Financial Advisors a success
– with uninterrupted service and
transparency for you and your clients.
This team includes compliance officers,
marketing specialists, technology
developers, trainers and more.
With a team this strong, Voya Financial
Advisors strives to ensure no detail of
your transition is overlooked.
For broker/dealer use only.
Not to be used with the public.
Support during transition
Customizable services (cont.)
Seamless Transition
You’ll find what you’ve been looking
for at Voya Financial Advisors. We’ll
support you leading into, during and
after your transition – as little or as
much as you want. We are here to help
familiarize you with tools, products,
resources and procedures, plus
provide you with ongoing support for
account transfers, operational needs,
cashiering services and continuous
Web-based training.
• Paperwork scheduling and
coordination
• Training programs tailored to
your practice
• Personal introductions to
back-office staff
• Access to our legal and
compliance teams
• Information at your fingertips through
our internal Broker-Dealer Center
website
• Unlimited patience, encouragement
and assurance
At Voya Financial Advisors, our mission
is to make your transition seamless.
You’ll see that working with our
broker-dealer is a business-building
opportunity – the perfect chance to
reconnect with your clients, offer new
services and products, and open the
door to conversations about planning
for retirement, consolidating assets
and growing your book through
new referrals. Our Transitions Case
Managers let you focus on taking care
of your business and your clients while
we keep things on schedule. Now
that’s a business-building opportunity.
And another reason to make Voya
Financial Advisors your last move.
We’ll get your business up and running
as quickly and easily as possible with
customizable services including:
• An integrated business workstation,
including a seamless CRM system for
you and your office support team
• Easy access to marketing and
communication tools, like new
business cards and stationary
Ready for your last move?
Call Voya Financial Partners for a complimentary broker-dealer comparison: 855-698-4900.
Or visit www.voyafinancialadvisors.com to learn more about planning your
last move to Voya Financial Advisors.
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
164789 3024365.I.R-1 © 2014 Voya™ Services Company. All rights reserved.
For broker/dealer use only. Not to be used with the public.
Voya.com
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Independence for a competitive fee
Voya Financial Advisors, Inc. is Competitive bundled pricing
an independent broker-dealer Your monthly affiliation fee includes
single sign-on access to: Morningstar®,
committed to bringing value
Voya SmartWorksTM, Forefield Advisor,
to you, your clients and your
DocuPace, online account opening,
business for a competitive fee. e-signature, remote check deposit,
We’re committed to delivering historical cost basis through Pershing,
along with Albridge data integration
and continuously enhancing
and our Voya WealthSolutions advisory
our programs, practice
platform.
management resources and
We provide access to a number of
valuable business-building tools. You’ll
technology tools to help you
be able to organize, automate, manage
run an efficient, successful
and synchronize your business and
business.
client data using a broad array of
• Free historical cost basis on
brokerage accounts
• Online auditing tool
• Online learning tools for
representatives and office staff,
including new rep training, firm
element continuing education,
compliance training and alternative
products training
powerful technology applications
supported through an integrated
advisor platform.
• Reduced ticket charges for
representatives’ personal brokerage
accounts
• Voya SmartWorks – our cloud-based
Client Relationship Management
(CRM) system powered by Salesforce.
com that allows you to quickly access
and manage client data seamlessly
• Proactive cybersecurity solution to
monitor all of your electronic devices
to protect your client data
• Online account opening that makes
it faster and easier to process new
business, which includes: e-signature,
Docupace imaging and remote check
deposit
For broker-dealer use only.
Not to be used with the public.
• Voya WealthSolutions – our advicebased platform that helps meet the
changing needs of clients for every
stage of the wealth management
lifecycle
We know these resources are
important for your business and
your client relationships, but they
can be costly. Many broker-dealers
include separate compliance fees and
technology fees, or may even charge
extra for basic services. Voya Financial
Advisors is transparent: no additional
compliance fees, processing fees, OBA
fees, technology fees or branding fees.
Delivering value for your fee
You’ll find that our transparency helps add perspective around what you get for partnering with us for $205 per month.
Compare what we offer as part of our affiliation versus what you get for your fee. We take pride in delivering value to you
at a competitive price.
Voya Financial Advisors’ value
Our affiliation fee includes:
Estimated annual retail cost:
 MoneyGuidePro financial planning tool
$1,500
 Voya SmartWorks with Integrated CRM powered by Salesforce.com
$1,200
 Forefield Advisor and Voya Marketing Zone
$1,000
 Albridge data integration via Voya SmartWorks
$420
 Morningstar reports via Voya SmartWorks
$500
 VA Comparison Tool
$930
 Historical cost basis through Pershing
$250
 Docupace
$480
 Online account opening includes e-signature, e-check deposit, e-blotter
$300
 Cybersecurity protection
$270
ESTIMATED ANNUAL RETAIL COST IF PURCHASED SEPARATELY:
$6,850/year – $570/month
We also include:
 Access to online rep training
 Resource Center
 Practice-building programs
 Advanced sales
 Advisory services group
 Retirement income program
PR
ICE
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 Succession planning
Ready for your last move?
Call Voya Financial Advisors for a complimentary broker-dealer comparison: 855-698-4900.
Or visit www.voyafinancialadvisors.com to learn more about planning your last move to
Voya Financial Advisors.
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Securities and investment advisory services offered through Voya Financial Advisors, Inc. (member SIPC).
169029 3030415.I.R-2 © 2014 Voya Services Company. All rights reserved.
For broker-dealer use only. Not to be used with the public.
Voya.com
Retirement income planning
To help meet the growing need
for retirement income advice, we
developed a retirement income
program to help you become the
go-to financial advisor your clients
seek for guidance. This program can
help you retain assets, build lasting
relationships with existing clients and
gather new assets from clients who
aren’t getting help from their own
advisors.
A guided approach
Voya™ Financial Advisors, Inc.’s Retirement
Income Planning program provides a guided
approach for creating retirement income plans
for clients.
• Comprehensive retirement income planning
process to follow
• Clear action plan to assess Social Security
options
• Financial planning software to create an
income-producing portfolio
• Tools and resources to help evolve and grow
your business
Our retirement income planning program
helps you keep pace with the changing needs
and demographics of your clients. It’s your
next big opportunity to grow your business
and deepen client relationships.
Ready for your last move?
Marketing resources
One of the best parts of our program is that
we provide the marketing resources you need
to navigate through the process. Here are
some examples:
• A client overview brochure with an
action checklist
• A holistic Social Security program with tools
and resources to help guide your clients to
make the best benefit decisions
• A financial risks brochure to help your clients
understand some of the risks they may face
throughout retirement
• A lifestyle workbook for your clients to
organize financial data in one place
• A brochure to help your clients understand
what they’re reading in the plan you provide,
as well as a risk tolerance questionnaire, an
annual review checklist, a postcard and more
We’ll help you run your
business your way. That
is our commitment to you.
Call Voya Financial Advisors for a complimentary broker-dealer comparison: 855-698-4900
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
169822 3031924.I.R-1 © 2014 Voya Services Company. All rights reserved.
For broker/dealer use only. Not to be used with the public.
Voya.com
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Voya WealthSolutions
Voya® WealthSolutions
helps you run your advisory
business more efficiently.
• Learn and operate under
one platform.
• See and manage your
client accounts at a
household level.
• Spend more time
with clients.
• Focus on growing
your business.
Voya WealthSolutions is an advicebased platform that will help position
you to meet the changing needs of
your clients who want more relational
and holistic financial planning
guidance. It has key features and
benefits, including sleeve technology
which allows you to manage multiple
strategists within one account. The
new platform also provides robust
reporting capabilities to track money
manager performance, plus improved
trading and model management,
proposal generation tools and much
more. For the first time, you have the
ability to offer your clients a unified
managed account (UMA).
Alerts
Drift alerts can be set up to make
you aware when a client’s portfolio is
no longer within the drift parameters
of the model. There’s also an
anniversary alert that makes managing
relationships even easier.
Proposals
You’re able to create and present
professional, client-facing proposals
using either packaged or customized
solutions. Proposal outputs include
research reports, as well as analytics of
the recommended portfolio(s).
Research
The platform gives you access to
comprehensive, institutional-quality
research on money managers available
on the platform. In-depth money
manager research and relative data
points, along with portfolio analysis,
help you make appropriate investment
selections as well. Powered by
Morningstar, the research will allow
you to compare the client’s existing
holdings to the recommended
investments.
Model portfolios
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Voya WealthSolutions gives you
the ability to create, maintain and
reallocate model portfolios. Models
can be developed as single-sleeve
or multi-sleeve for an individual client
or household, giving you a better
overview and process to manage a
client’s portfolio holistically.
Trading
Robust trading tools allow you to place
single and multiple orders (through
block trading and rebalancing) to
manage clients and households in a
more efficient manner. Model- and
sleeve-trading help you rebalance
accounts and households.
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For broker-dealer use only.
Not to be used with the public.
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Performance reports
Performance reports provide clients
with greater transparency and
performance results on an account,
household and sleeve level. You’ll also
be able to create ad hoc and daily
extract reports to deliver the most
up-to-date information. Performance
reports will have time-weighted and
dollar-weighted options.
Voya WealthSolutions helps you
manage your advisory practice more
efficiently. The platform provides
valuable resources and guidance
for financial professionals looking
to get into the advisory business
for the first time and tools for those
experienced advisory providers.
Voya WealthSolutions gives you the
right platform to help gain market
penetration and share to help increase
your book of business.
Get all you can from our platform. You can find detailed information and
training tools to help you navigate and use the system efficiently on Voya SmartWorks® under
Advisory Services by clicking on WealthSolutions Platform. If you have any questions about the
platform or advisory services in general, please contact the Advisory Services Team at
800-356-2906, option 4 or [email protected].
For more information please contact:
Voya Financial Advisors, Inc.
909 Locust Street
Des Moines, IA 50309-2899
800.356.2906 Option 4
www.voyafinancialadvisors.com
Not FDIC/NCUA/NCUSIF Insured I Not a Deposit of a Bank/Credit Union I May Lose Value I Not Bank/Credit Union Guaranteed I Not Insured by Any Federal Government Agency
Special Note: Qualified accounts (defined as ERISA and IRAs) are not allowed to hold Voya investments in the UMA. Therefore, GPMM Mutual Fund and ETF programs may not be held
in the qualified accounts. In addition, qualified Advisor Directed sleeves may not hold Voya investments. We will oversee these accounts to ensure that this requirement is adhered to.
Securities and investment advisory services offered through Voya Financial Advisors, Inc., member SIPC.
168480 3028678.I.R-2 © 2015 Voya Services Company. All rights reserved.
For broker-dealer use only. Not to be used with the public.
Voya.com
About Voya Financial Advisors
Protection you can trust
Voya Financial Advisors, part of the
Voya family of companies, offers a
comprehensive array of financial
services and products to clients,
including life insurance, retirement
plans, mutual funds, managed
accounts, alternative investments,
institutional investment management,
annuities, financial planning, and more.
The Voya family of companies serves
over 17 million customers across the
nation. For more information,
visit www.voya.com.
When you work with Voya Financial
Advisors and your financial adviser, you
have the confidence of knowing that
all brokerage execution and technical
services are performed by an industry
leader – Pershing LLC, a subsidiary
of The Bank of New York Mellon
Corporation. Pershing LLC provides
account protection for the total net
equity of assets held in custody for
your account. Voya Financial Advisors
is a member of SIPC, which protects
securities customers of its members up
to $500,000 including $250,000 for
claims for cash. Explanatory brochure
available upon request or at www.
sipc.org. Pershing LLC provides the
remaining coverage (excess SIPC)
through a commercial insurer.
Account protection applies when an
SIPC member firm fails financially and
is unable to meet its obligations to
its securities clients, but it does not
protect against losses from the rise and
fall in the market value of investments.
Ready for your last move?
Call Voya Financial Partners for a complimentary broker-dealer comparison: 855-698-4900.
Or visit www.voyafinancialadvisors.com to learn more about planning your last move to
Voya Financial Advisors.
Voyafinancialadvisors.com
Securities and investment advisory services offered through Voya Financial Advisors, Inc. (member SIPC)
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For broker-dealer use only. Not to be used with the public.
Voya.com
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