Louis A. Blair
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.
Louis Alan Blair was a registered financial professional .
Louis is a previously registered financial professional and started their career in finance in 1983. Louis had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 22 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 29, 2016 - July 13, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 15, 2016 - July 13, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 18, 2012 - October 10, 2013
PNC WEALTH MANAGEMENT LLC
July 18, 2012 - October 10, 2013
PNC WEALTH MANAGEMENT LLC
September 15, 2009 - July 26, 2010
BB&T INVESTMENT SERVICES, INC.
September 15, 2009 - July 26, 2010
BB&T INVESTMENT SERVICES, INC.
August 22, 2007 - May 1, 2008
CHASE INVESTMENT SERVICES CORP.
August 22, 2007 - May 1, 2008
CHASE INVESTMENT SERVICES CORP.
January 19, 2007 - June 5, 2007
PNC WEALTH MANAGEMENT LLC
February 24, 2006 - June 5, 2007
PNC WEALTH MANAGEMENT LLC
January 4, 1999 - December 31, 2001
NATCITY INSURANCE SERVICES, INC.
August 3, 1998 - January 4, 1999
IFMG SECURITIES, INC.
April 16, 1997 - August 3, 1998
INDEPENDENT FINANCIAL SECURITIES, INC.
March 5, 1997 - February 22, 2006
NATCITY INVESTMENTS, INC.
April 11, 1990 - March 3, 1997
CUNA BROKERAGE SERVICES, INC.
August 8, 1986 - April 10, 1990
MORGAN STANLEY DW INC.
July 20, 1983 - August 12, 1986
AMERICAN EXPRESS FINANCIAL CORPORATION
July 20, 1983 - August 13, 1986
AMERIPRISE FINANCIAL SERVICES, 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.
