KEVIN KENNETH CARTER is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 222 S COOK ST, BARRINGTON, IL, 60010.
KEVIN KENNETH CARTER has worked at VOYA FINANCIAL ADVISORS, INC. since December 04, 1995
Disclosure History
KEVIN KENNETH CARTER has 3 Disclosure Event(s).
Date: January 22, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT REGISTERED REPRESENTATIVE MISUNDERSTOOD A VARIABLE LIFE INSURANCE POLICY PROVISION WITH RESPECT TO WITHDRAWLS. ALLEGED DAMAGES ARE ESTIMATED TO EXCEED $5000.00 Settlement Amount: $8,500.00 Broker Comment: RELIASTAR LIFE INSURANCE COMPANY SETTLED CLAIM WITH THE CLIENT WITHOUT ADMITTING ANY LIABILITY OR WRONGDOING.
Date: October 20, 1980 Category: Criminal Charges: PLED GUILTY TO MISDEMEANOR RETAIL THEFT UNDER $100 Charge Type: MISDEMEANOR Disposition: MISDEMEANOR CONVICTION ON MY RECORD AND A $250 FINETERMINATION OF EMPLOYMENT FROM MONTGOMERY WARD Broker Comment: I ATTEMPTED TO STEAL A VARIABLE SPEED DRILL FROM MY EMPLOYERTHAT WAS WORTH $100 ON OR ABOUT 8/80
Date: October 20, 1980 Category: Employment Separation After Allegations Firm Name: MONTGOMERY WARDS Termination Type: Discharged Allegations: RETAIL THEFT OF VARIABLE SPEED DRILL Broker Comment: MONTGOMERY WARD TERMINATED MY EMPLOYMENT FOR MISDEMEANOR CONVICTION OF RETAIL THEFT.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for KEVIN KENNETH CARTER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.