Michael J. Martella
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.
Michael Joseph Martella, who also goes by Michael Joseph Martella, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1983. Michael had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2017 - November 14, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 10, 2015 - November 14, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 21, 2012 - October 11, 2013
MERRIMAC CORPORATE SECURITIES, INC.
October 14, 2009 - December 31, 2010
MERRIMAC CORPORATE SECURITIES, INC.
February 23, 2007 - November 7, 2007
MERRIMAC CORPORATE SECURITIES, INC.
January 13, 2005 - July 6, 2005
MERRIMAC CORPORATE SECURITIES, INC.
January 20, 2003 - November 5, 2004
ALLEN DOUGLAS SECURITIES, INC.
September 27, 1994 - October 23, 2002
EDI FINANCIAL, INC.
September 12, 1990 - December 31, 1992
EDI FINANCIAL, INC.
August 3, 1988 - February 6, 1989
FINNET SECURITIES, INC.
November 1, 1984 - October 6, 1986
J. W. GANT & ASSOCIATES, INC.
November 14, 1983 - November 9, 1984
KOBRIN SECURITIES, 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
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.
