Kathleen T. Miller
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.
Kathleen Theresa Miller, who also goes by Kathleen Theresa Lenahan, Kathy Lenahan, Kathleen Theresa Mckernan, was a registered financial professional .
Kathleen is a previously registered financial professional and started their career in finance in 1984. Kathleen had worked at 11 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
September 30, 2008 - November 4, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
January 3, 2002 - August 18, 2008
TRANSAMERICA INVESTORS SECURITIES, LLC
December 11, 2001 - December 12, 2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
December 19, 2000 - July 20, 2001
PRUDENTIAL EQUITY GROUP, LLC
August 29, 2000 - January 2, 2001
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
February 18, 1999 - March 6, 2000
VICTORY CAPITAL SERVICES, INC.
August 21, 1998 - January 29, 1999
UBS FINANCIAL SERVICES INC.
April 29, 1997 - August 5, 1998
BD COMPLIANCE SOLUTIONS, LLC
October 25, 1996 - August 5, 1998
FORESIDE DISTRIBUTION SERVICES, L.P.
February 4, 1992 - November 14, 1995
BANC ONE SECURITIES CORPORATION
May 17, 1988 - July 3, 1990
KIDDER, PEABODY & CO. INCORPORATED
July 23, 1986 - May 5, 1988
THOMSON MCKINNON SECURITIES INC.
December 18, 1984 - July 3, 1990
KIDDER, PEABODY & CO. INCORPORATED
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
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