Peter D. Spurlin
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Peter David Spurlin was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1981. Peter had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 24, 2012 - April 20, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
November 15, 2010 - August 10, 2012
CETERA INVESTMENT SERVICES LLC
October 26, 2010 - August 10, 2012
CETERA INVESTMENT SERVICES LLC
November 29, 2007 - February 17, 2009
CHARLES SCHWAB & CO., INC.
November 29, 2007 - February 17, 2009
CHARLES SCHWAB & CO., INC.
July 24, 2006 - October 1, 2007
PRINCIPAL SECURITIES, INC.
June 12, 2006 - October 1, 2007
PRINCIPAL SECURITIES, INC.
December 12, 2003 - April 20, 2006
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
June 12, 2001 - December 12, 2003
AMERICAN CENTURY INVESTMENT SERVICES INC.
November 16, 1988 - June 13, 1989
ALPINE BROKER SERVICES CORP.
July 13, 1984 - October 31, 1986
INVESTACORP, INC.
December 11, 1981 - June 9, 1982
OTC NET INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
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
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