Arnette W. Travis
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.
Arnette Wright Travis, who also goes by Arnette Olivia Wright, was a registered financial professional .
Arnette is a previously registered financial professional and started their career in finance in 1988. Arnette had worked at 10 firms and has passed the Series 65, Series 63, Series 3 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
September 2, 2010 - December 31, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 11, 2008 - September 2, 2010
E-W INVESTMENTS, INC.
January 31, 2006 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
March 24, 2004 - January 25, 2007
CITIGROUP GLOBAL MARKETS INC.
October 11, 2002 - February 7, 2003
ZAHORIK COMPANY, INC.
December 13, 1993 - May 23, 2001
PRUDENTIAL EQUITY GROUP, LLC
May 17, 1991 - November 3, 1993
MORGAN STANLEY DW INC.
February 14, 1991 - May 2, 1991
PAULSON INVESTMENT COMPANY LLC
November 23, 1990 - January 22, 1991
AMERICAN FRONTEER FINANCIAL CORPORATION
March 20, 1989 - October 17, 1990
R.B. MARICH, INC.
February 24, 1988 - April 4, 1989
BLINDER, ROBINSON & CO., 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.
