Danny J. Brod
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.
Danny Jay Brod was a registered financial professional .
Danny is a previously registered financial professional and started their career in finance in 1985. Danny had worked at 2 firms and has passed the Series 63 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
September 17, 1997 - December 31, 1999
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 13, 1985 - April 18, 1997
PRUCO SECURITIES, LLC.
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, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
