John W. Mileham
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 William Mileham JR, who also goes by John William (jr) Mileham, Johyn William Mileham Jr, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1983. John had worked at 7 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
June 8, 2012 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 6, 2012 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 15, 2009 - March 23, 2011
SIGNATOR INVESTORS, INC.
July 1, 2003 - April 3, 2009
ALLSTATE FINANCIAL SERVICES, LLC
January 20, 1986 - July 22, 2003
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
August 30, 1983 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
August 30, 1983 - July 22, 2003
OSAIC FA, INC.
February 17, 1983 - September 16, 1983
NYLIFE SECURITIES LLC
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
Current 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.
