BP
Bobbie J. Pierce
TRANSAMERICA INVESTORS SECURITIES
Denver, CO 80202
Some features on this profile are disabled
CRD#: 1011848
BP
Professional summary
Bobbie Jean Pierce, who also goes by Prado, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Denver, Colorado.
Bobbie is registered as a RR (Registered Representative) and started their career in finance in 2000. Bobbie has worked at 3 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Prado
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Bobbie Jean Pierce's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
June 4, 2019 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 1801 California St. Suite 5200, Denver, CO 80202BD
CRD#: 32205
Denver, CO
Past
May 23, 2017 - June 12, 2017
SCOTTRADE, INC.
BD
CRD#: 8206
WESTMINSTER, CO
Past
August 18, 2000 - May 25, 2016
LTC INVESTMENT SERVICES, INC.
BD
CRD#: 23750
DENVER, CO
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(6/4/2019)
RR
Alaska(6/4/2019)
RR
Arizona(6/4/2019)
RR
Arkansas(6/4/2019)
RR
California(6/4/2019)
RR
Colorado(6/4/2019)
RR
Connecticut(6/4/2019)
RR
Delaware(6/4/2019)
RR
District of Columbia(6/4/2019)
RR
Florida(6/4/2019)
RR
Georgia(6/4/2019)
RR
Hawaii(6/4/2019)
RR
Idaho(6/4/2019)
RR
Illinois(6/4/2019)
RR
Indiana(6/4/2019)
RR
Iowa(6/4/2019)
RR
Kansas(6/4/2019)
RR
Kentucky(6/4/2019)
RR
Louisiana(6/4/2019)
RR
Maine(6/4/2019)
RR
Maryland(6/4/2019)
RR
Massachusetts(6/4/2019)
RR
Michigan(6/4/2019)
RR
Minnesota(6/4/2019)
RR
Mississippi(6/4/2019)
RR
Missouri(6/4/2019)
RR
Montana(6/4/2019)
RR
Nebraska(6/4/2019)
RR
Nevada(6/4/2019)
RR
New Hampshire(6/4/2019)
RR
New Jersey(6/4/2019)
RR
New Mexico(6/4/2019)
RR
New York(6/4/2019)
RR
North Carolina(6/4/2019)
RR
North Dakota(6/4/2019)
RR
Ohio(6/5/2019)
RR
Oklahoma(6/4/2019)
RR
Oregon(6/4/2019)
RR
Pennsylvania(6/4/2019)
RR
Puerto Rico(6/4/2019)
RR
Rhode Island(6/4/2019)
RR
South Carolina(6/4/2019)
RR
South Dakota(6/4/2019)
RR
Tennessee(6/4/2019)
RR
Texas(6/4/2019)
RR
Utah(6/4/2019)
RR
Vermont(6/4/2019)
RR
Virginia(6/4/2019)
RR
Washington(6/4/2019)
RR
West Virginia(6/4/2019)
RR
Wisconsin(6/4/2019)
RR
Wyoming(6/4/2019)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION
CRD#: 32205 / SEC#: , 8-45671
BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
