Therese Axenfield
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.
Therese Axenfield, who also goes by Therese Marchin Axenfield, Therese Marchin Siebenaller, was a registered financial professional .
Therese is a previously registered financial professional and started their career in finance in 1987. Therese had worked at 5 firms and has passed the Series 65, Series 63, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2012 - April 11, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
May 7, 2008 - March 16, 2012
VALIC FINANCIAL ADVISORS, INC.
February 17, 2006 - March 16, 2012
VALIC FINANCIAL ADVISORS, INC.
May 9, 2005 - January 31, 2006
TRANSAMERICA INVESTORS SECURITIES, LLC
March 22, 2000 - January 6, 2005
TRANSAMERICA INVESTORS SECURITIES, LLC
July 28, 1998 - October 12, 1998
THE VARIABLE ANNUITY MARKETING COMPANY
March 31, 1998 - July 2, 1998
HEALTHCARE COMMUNITY SECURITIES CORP.
September 11, 1996 - February 25, 1998
TRANSAMERICA INVESTORS SECURITIES, LLC
November 27, 1990 - April 21, 1995
THE VARIABLE ANNUITY MARKETING COMPANY
February 19, 1987 - August 26, 1987
MARKETING ONE SECURITIES, INC.
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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