Kenneth Nadan
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.
Kenneth Nadan, who also goes by Ken Nadan, was a registered financial professional .
Kenneth is a previously registered financial professional and started their career in finance in 1988. Kenneth had worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 6, Series 7, Series 55 and Series 62 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 16, 2012 - October 16, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 16, 2012 - October 16, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 1, 2008 - May 27, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
September 12, 2007 - December 3, 2010
WORLD GROUP SECURITIES, INC.
November 18, 2002 - February 11, 2003
PASSCO CAPITAL, INC.
January 21, 2002 - November 4, 2002
DOMESTIC SECURITIES, INC.
April 21, 1998 - July 24, 1998
HEARTLAND SECURITIES CORP.
December 12, 1997 - May 1, 1998
ICAPITAL MARKETS LLC
March 24, 1995 - October 24, 1996
ICAPITAL MARKETS LLC
May 19, 1992 - November 10, 1992
SUNAMERICA SECURITIES, INC.
October 18, 1990 - May 19, 1992
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
December 20, 1988 - October 7, 1989
THOMSON MCKINNON SECURITIES 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
Series 55
Date: 1/26/2002
Limited Representative-Equity Trader ExamSeries 62
Date: 1/19/2002
Corporate Securities Limited 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.
