John E. Koehler
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 E Koehler, CFP®, who also goes by John E Koehler, John Edwin Koehler Jr, John Edwin Koehler Jr., was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 4, 2018 - July 6, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
July 26, 2011 - April 25, 2018
TRANSAMERICA CAPITAL, LLC
November 23, 2005 - July 12, 2011
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
September 15, 2004 - July 18, 2005
YOUR LIFE FINANCIAL, LLC
September 18, 1991 - May 12, 2004
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
February 25, 1987 - April 18, 1988
LEHMAN BROTHERS INC.
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 INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
