Bonnie L. Hofstra
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.
Bonnie Louise Hofstra, who also goes by Bonnie L Hofstra, Bonnie Louise Hofstra-lawrence, was a registered financial professional .
Bonnie is a previously registered financial professional and started their career in finance in 1985. Bonnie had worked at 8 firms and has passed the Series 63, Series 7 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
August 5, 1997 - February 28, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 12, 1994 - August 5, 1997
MARINER FINANCIAL SERVICES, INC.
July 31, 1993 - September 20, 1994
CITIGROUP GLOBAL MARKETS INC.
July 1, 1993 - July 31, 1993
LEHMAN BROTHERS INC.
May 17, 1990 - February 18, 1992
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
May 17, 1990 - February 18, 1992
SIGNATOR INVESTORS, INC.
February 1, 1990 - July 13, 1993
THE VARIABLE ANNUITY MARKETING COMPANY
August 1, 1985 - March 10, 1990
SIGNATOR INVESTORS, INC.
March 21, 1985 - June 28, 1985
FORESTERS FINANCIAL SERVICES, 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.
