John R. Bennett
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.
John R Bennett, who also goes by John Robert Bennett, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 9 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
February 14, 2014 - December 23, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 14, 2014 - December 23, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 3, 2013 - January 16, 2014
EQUITABLE ADVISORS, LLC
February 8, 2013 - January 16, 2014
EQUITABLE ADVISORS, LLC
March 14, 2005 - December 31, 2005
AMERICAN GENERAL SECURITIES INCORPORATED
April 13, 2004 - May 5, 2004
MONY SECURITIES CORPORATION
May 9, 2002 - April 12, 2004
AMERICAN GENERAL SECURITIES INCORPORATED
March 5, 2002 - April 30, 2002
PRUCO SECURITIES, LLC.
January 1, 1995 - March 22, 2001
F.J. MORRISSEY & CO., INC.
March 13, 1991 - December 31, 1992
CETERA ADVISORS LLC
September 26, 1988 - July 21, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 21, 1987 - October 5, 1988
ADVEST, 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.
