John A. Von Brincken
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 A Von Brincken, who also goes by John A Vonbrincken, John Vonbrincken, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1987. John had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2012 - December 31, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 26, 2012 - December 31, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 21, 2011 - December 23, 2011
LIGHTHOUSE CAPITAL CORPORATION
April 28, 2010 - December 23, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
February 28, 1997 - September 27, 2005
LIGHTHOUSE CAPITAL CORPORATION
August 20, 1996 - February 28, 1997
FORTREND SECURITIES, INC.
October 26, 1994 - September 26, 1995
WMA SECURITIES, INC.
May 24, 1989 - May 17, 1994
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
October 13, 1987 - December 18, 1987
PRUCO SECURITIES, LLC.
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 7TO
Date: 10/9/2022
General Securities Representative ExaminationCurrent 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.
