Jeffrey M. Lloyd
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.
Jeffrey Martin Lloyd was a registered financial professional .
Jeffrey is a previously registered financial professional and started their career in finance in 1996. Jeffrey had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 7A and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 11, 2012 - December 12, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 11, 2012 - December 12, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 21, 2011 - April 20, 2012
SLOAN SECURITIES CORP.
March 17, 2008 - June 29, 2011
CHASE INVESTMENT SERVICES CORP.
February 12, 2008 - June 29, 2011
CHASE INVESTMENT SERVICES CORP.
October 1, 1997 - February 1, 2008
MURIEL SIEBERT & CO., LLC
December 10, 1996 - October 7, 1997
APEX CLEARING CORPORATION
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
Series 7A
Date: 11/25/1993
Floor Broker Representative ExamSeries 8
Date: 9/16/1994
General Securities Sales Supervisor Examination (Options Module & General Module)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.
