Reynaldo G. Reyes
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.
Reynaldo Garcia Reyes, who also goes by Argie Reyes, R G Reyes, was a registered financial professional .
Reynaldo is a previously registered financial professional and started their career in finance in 1984. Reynaldo had worked at 12 firms and has passed the Series 63, Series 65, 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
July 9, 2012 - December 31, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 13, 2007 - March 19, 2010
EMPIRE SECURITIES CORPORATION
May 29, 2007 - March 19, 2010
EMPIRE SECURITIES CORPORATION
May 4, 2005 - April 17, 2006
STRATEGIC ADVISERS LLC
April 15, 2005 - April 17, 2006
FIDELITY BROKERAGE SERVICES LLC
March 17, 2003 - March 14, 2005
LPL FINANCIAL LLC
March 17, 2003 - March 14, 2005
LPL FINANCIAL LLC
June 1, 1992 - March 18, 2003
CITICORP INVESTMENT SERVICES
November 12, 1990 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
February 24, 1989 - March 22, 1990
FINANCIAL HORIZONS SECURITIES CORPORATION
August 30, 1985 - February 11, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 10, 1985 - July 12, 1985
FORESTERS FINANCIAL SERVICES, INC.
January 25, 1984 - May 6, 1985
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
January 25, 1984 - May 6, 1985
SIGNATOR INVESTORS, 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.
