Tracey L. Evans
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.
Tracey Lynn Evans, who also goes by Tracey Lynn Creighton, was a registered financial professional .
Tracey is a previously registered financial professional and started their career in finance in 1987. Tracey had worked at 10 firms and has passed the Series 65, SIE, Series 7, Series 51 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
June 12, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
June 12, 2009 - October 28, 2009
TRANSAMERICA SECURITIES SALES CORPORATION
March 29, 2007 - August 7, 2017
TRANSAMERICA CAPITAL, LLC
December 8, 2004 - August 4, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 26, 2000 - December 1, 2000
TRANSAMERICA CAPITAL, LLC
April 11, 2000 - December 17, 2003
TRANSAMERICA INVESTORS SECURITIES, LLC
October 28, 1998 - June 4, 2007
AFSG SECURITIES CORPORATION
February 6, 1997 - August 4, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 19, 1995 - January 30, 1997
INVEST FINANCIAL CORPORATION
December 9, 1994 - December 15, 1995
ALLSTATE FINANCIAL SERVICES, LLC
July 10, 1992 - December 5, 1994
INVEST FINANCIAL CORPORATION
January 11, 1988 - July 10, 1992
FIRST UNION BROKERAGE SERVICES, INC.
January 21, 1987 - January 16, 1988
BARNETT INVESTMENTS, 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 FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
