John D. Davis
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.
John Duane Davis was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1982. John had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 2 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 19, 2020 - October 20, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 16, 2020 - October 20, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 31, 2017 - October 20, 2020
INDEPENDENT FINANCIAL GROUP, LLC
October 30, 2017 - October 20, 2020
INDEPENDENT FINANCIAL GROUP, LLC
February 24, 2017 - November 7, 2017
CENTAURUS FINANCIAL, INC.
February 24, 2017 - November 7, 2017
CENTAURUS FINANCIAL, INC.
November 8, 2005 - March 1, 2017
INDEPENDENT FINANCIAL GROUP, LLC
September 9, 2005 - March 1, 2017
INDEPENDENT FINANCIAL GROUP, LLC
December 8, 2004 - September 20, 2005
ASSOCIATED SECURITIES CORP.
October 10, 2000 - December 6, 2004
LPL FINANCIAL LLC
September 22, 2000 - December 6, 2004
LPL FINANCIAL LLC
June 27, 2000 - September 29, 2000
SUMMIT BROKERAGE SERVICES, INC.
February 23, 1999 - July 5, 2000
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 1996 - December 22, 1998
WMA SECURITIES, INC.
April 19, 1993 - February 22, 1996
PFS INVESTMENTS INC.
May 31, 1989 - October 11, 1989
KIMMINS SECURITIES, INC.
June 30, 1983 - December 10, 1991
COOPER INVESTMENT PARTNERS
June 4, 1982 - December 13, 1985
PETER B. COOPER & ASSOCIATES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Series 2
Date: 11/12/1979
Non-Member General Securities ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
