Frank W. Blair
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.
Frank Welton Blair, who also goes by Frank W Blair Jr, Frank W Blair, Frank Welton Blair Jr, was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1985. Frank had worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - September 16, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 5, 2012 - January 6, 2012
WORLD GROUP SECURITIES, INC.
January 5, 2010 - April 4, 2011
ALLSTATE FINANCIAL SERVICES, LLC
November 28, 2007 - June 1, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 16, 2007 - June 1, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - November 29, 2007
CITIGROUP GLOBAL MARKETS INC.
May 29, 2007 - November 29, 2007
CITIGROUP GLOBAL MARKETS INC.
November 9, 2004 - May 29, 2007
CITICORP INVESTMENT SERVICES
February 13, 1998 - May 29, 2007
CITICORP INVESTMENT SERVICES
August 21, 1996 - February 2, 1998
CHASE INVESTMENT SERVICES CORP.
February 1, 1995 - August 21, 1996
FISERV INVESTOR SERVICES, INC.
September 1, 1993 - February 1, 1995
CAPITAL BROKERAGE CORPORATION
June 15, 1990 - October 19, 1992
HOME LIFE INSURANCE COMPANY
June 15, 1990 - July 7, 1993
WS GRIFFITH SECURITIES, INC.
November 5, 1985 - January 1, 1990
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.
