John K. Beall
Professional summary
John Keith Beall is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Weddington, North Carolina.
John is registered as a RR (Registered Representative) and started their career in finance in 1987. John has worked at 6 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 3, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view John Keith Beall's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 9, 2001 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
April 26, 2007 - September 26, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 5, 1992 - December 3, 1999
J.P. MORGAN SECURITIES LLC
September 25, 1989 - December 4, 1990
LEHMAN BROTHERS INC.
February 23, 1988 - October 5, 1989
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 12, 1987 - October 20, 1987
DUNMAN RESOURCES, 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
(1/11/2006)
(8/22/2003)
(7/8/2022)
(10/9/2001)
(1/11/2006)
(7/8/2022)
(1/7/2019)
(1/11/2006)
(1/25/2007)
(1/7/2019)
(7/8/2022)
(7/8/2022)
(1/7/2019)
(1/12/2006)
(4/18/2002)
(1/11/2006)
(1/7/2019)
(8/22/2003)
(1/7/2019)
(7/8/2022)
(8/22/2003)
(1/11/2006)
(7/8/2022)
(8/22/2003)
(12/19/2019)
Exams
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationFINRA
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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