Rinico W. Sawyer
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.
Rinico Weldon Sawyer was a registered financial professional .
Rinico is a previously registered financial professional and started their career in finance in 1986. Rinico had worked at 13 firms and has passed the Series 66, 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
January 17, 2018 - December 31, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 17, 2017 - August 28, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 29, 2016 - December 27, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 11, 2014 - July 1, 2016
CETERA ADVISORS LLC
November 16, 2006 - May 10, 2011
HSBC SECURITIES (USA) INC.
November 16, 2006 - May 10, 2011
HSBC SECURITIES (USA) INC.
December 4, 2003 - November 7, 2006
CHASE INVESTMENT SERVICES CORP.
September 18, 1996 - November 7, 2006
CHASE INVESTMENT SERVICES CORP.
February 27, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
December 20, 1994 - July 18, 1995
FINANCIAL HORIZONS SECURITIES CORPORATION
June 1, 1992 - March 1, 1996
CITICORP INVESTMENT SERVICES
March 12, 1992 - June 1, 1992
CITICORP FINANCIAL SERVICES,INC.
January 21, 1991 - February 14, 1992
REICH & CO., INC.
October 23, 1989 - January 25, 1991
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 1989 - November 16, 1989
PRUDENTIAL EQUITY GROUP, LLC
March 21, 1988 - September 15, 1989
THOMSON MCKINNON SECURITIES INC.
November 18, 1986 - April 14, 1988
OMNI MUTUAL, 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.
