Eugenia Duecker
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.
Eugenia Duecker, who also goes by Jean Duecker, Eugenia Puntus, Eugenia Russo, was a registered financial professional .
Eugenia is a previously registered financial professional and started their career in finance in 1987. Eugenia had worked at 17 firms and has passed the 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
October 1, 2012 - September 4, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 28, 2006 - October 12, 2010
U.S. BANCORP INVESTMENTS, INC.
December 1, 2005 - April 25, 2006
CITIZENS SECURITIES, INC.
January 29, 2002 - December 1, 2005
CHARTER ONE SECURITIES, INC.
April 1, 1998 - January 31, 2002
LASALLE FINANCIAL SERVICES, INC.
May 1, 1997 - April 1, 1998
ALLSTATE FINANCIAL SERVICES, LLC
August 29, 1996 - May 1, 1997
ESSEX NATIONAL SECURITIES, LLC
August 18, 1992 - April 6, 1993
FINANCIAL HORIZONS SECURITIES CORPORATION
August 17, 1992 - November 25, 1994
CITICORP INVESTMENT SERVICES
April 26, 1991 - August 21, 1992
ROBERT THOMAS SECURITIES, INC
August 23, 1990 - October 15, 1990
H.J. MEYERS & CO., INC.
March 12, 1990 - August 23, 1990
JOSEPHTHAL & CO., INC.
April 28, 1989 - March 20, 1990
AMERICAN INVESTORS GROUP, INC.
March 23, 1989 - May 12, 1989
U.S. ADVISORS, INC.
November 1, 1988 - February 23, 1989
ALLIED CAPITAL GROUP, INC.
August 4, 1988 - November 3, 1988
GRAYSTONE NASH, INC.
September 1, 1987 - August 16, 1988
DON ALEXANDER INVESTMENTS, 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.
