John W. Haigh
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 Haigh, CFP®, who also goes by John W Haigh, John Wiliam Haigh, John William Haigh, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1985. John had worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 7TO, 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
May 17, 2021 - August 4, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 23, 2021 - August 4, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 19, 2010 - May 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 6, 2010 - May 2, 2011
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 30, 2003 - December 31, 2003
PFS INVESTMENTS INC.
May 17, 2001 - November 21, 2001
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 1, 1999 - March 2, 2000
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 29, 1999 - August 26, 1999
CETERA WEALTH SERVICES, LLC
June 20, 1996 - March 17, 1997
GRIFFIN FINANCIAL SERVICES
December 13, 1994 - October 16, 1995
CITIGROUP GLOBAL MARKETS INC.
February 21, 1985 - February 15, 1989
AMERICAN PACIFIC SECURITIES CORPORATION
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
Series 7TO
Date: 5/15/2021
General Securities Representative ExaminationCurrent 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.
