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RIA / WealthAdvisordual registered (broker-dealer)33 years in industry

Teresa Janette Brock

Advisor at VOYA FINANCIAL ADVISORS, INC.

Surprise, AZ | Stillwater, MN

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 4:49 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 1
On other graphs: 0
Observed: Jun 20, 1997 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: VOYA FINANCIAL ADVISORS, INC.
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Apr 23, 1993earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 0derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S65|S63
First exam: Apr 23, 1993
First registration: Jun 20, 1997
Dual registered: yes, broker-dealer
Other names: TERESA JANETTE GABER|TERESA JANETTE KING|TERESA JANETTE BROCK|Janette Brock|T. JANETTE BROCK
IAPD individual key: 2334087

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
VOYA FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Sep 25, 2025	n/a	yes	Stillwater, MN\|Surprise, AZ	Current employment
SORRENTO PACIFIC FINANCIAL, LLC	Former SEC adviser	Feb 25, 2020	Jul 9, 2024	no	SAN DIEGO, CA	Previous registration
CUSO FINANCIAL SERVICES, L.P.	Former SEC adviser	Aug 13, 2019	Aug 1, 2025	no	SAN DIEGO, CA\|FAIRBORN, OH\|Salem, OR	Previous registration
EQUITABLE ADVISORS, LLC	National bd RIA	May 11, 2017	Jan 11, 2019	no	CARLSBAD, CA\|SAN DIEGO, CA	Previous registration
SCOTTSDALE CAPITAL ADVISORS CORPORATION	State registered	Feb 18, 2010	Mar 7, 2011	no	CARLSBAD, CA	Previous registration
NEXCORE FINANCIAL SERVICES, INCORPORATED	n/a	Jan 24, 2007	Aug 30, 2007	no	SAN DIEGO, CA	Previous registration
DEAN INVESTMENTS	Mixed wealth	Jun 20, 1997	Aug 10, 2005	no	EVERGREEN, CO	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
CUSO FINANCIAL SERVICES, L.P.	SORRENTO PACIFIC FINANCIAL, LLC	Aug 1, 2025	Feb 25, 2020	-1,984	Channel change	Ibd to ibd
SORRENTO PACIFIC FINANCIAL, LLC	VOYA FINANCIAL ADVISORS, INC.	Jul 9, 2024	Sep 25, 2025	443	Firm change after gap	Ibd to ibd
EQUITABLE ADVISORS, LLC	CUSO FINANCIAL SERVICES, L.P.	Jan 11, 2019	Aug 13, 2019	214	Firm change	Ibd to ibd
SCOTTSDALE CAPITAL ADVISORS CORPORATION	EQUITABLE ADVISORS, LLC	Mar 7, 2011	May 11, 2017	2,257	Firm change after gap	Other
NEXCORE FINANCIAL SERVICES, INCORPORATED	SCOTTSDALE CAPITAL ADVISORS CORPORATION	Aug 30, 2007	Feb 18, 2010	903	Firm change after gap	Other
DEAN INVESTMENTS	NEXCORE FINANCIAL SERVICES, INCORPORATED	Aug 10, 2005	Jan 24, 2007	532	Firm change after gap	Other

Relationships

Registered with (7)

→ VOYA FINANCIAL ADVISORS, INC.Registered adviserregistration: current employment
Sep 25, 2025 to presentfactForm ADV
→ CUSO FINANCIAL SERVICES, L.P.Registered adviserregistration: previous registration
Aug 13, 2019 to Aug 1, 2025factForm ADV
→ SORRENTO PACIFIC FINANCIAL, LLCRegistered adviserregistration: previous registration
Feb 25, 2020 to Jul 9, 2024factForm ADV
→ EQUITABLE ADVISORS, LLCRegistered adviserregistration: previous registration
May 11, 2017 to Jan 11, 2019factForm ADV
→ SCOTTSDALE CAPITAL ADVISORS CORPORATIONRegistered adviserregistration: previous registration
Feb 18, 2010 to Mar 7, 2011factForm ADV
→ NEXCORE FINANCIAL SERVICES, INCORPORATEDRegistered adviserregistration: previous registration
Jan 24, 2007 to Aug 30, 2007factForm ADV
→ DEAN INVESTMENTSRegistered adviserregistration: previous registration
Jun 20, 1997 to Aug 10, 2005factForm ADV

Dated events

Occurred
Jul 9, 2024
Advisor changed firm
Teresa Janette Brock left Sorrento Pacific Financial, Llc for Voya Financial Advisors, Inc. (registered 2025-09-25)
Form ADVobserved 4 days ago