Barry D. Schreiber
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.
Barry Dov Schreiber, who also goes by Barry D Schreiber, Barry Schreiber, was a registered financial professional .
Barry is a previously registered financial professional and started their career in finance in 2001. Barry had worked at 8 firms and has passed the Series 65, Series 63, Series 7TO, SIE 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
August 10, 2021 - September 24, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 10, 2021 - September 24, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 30, 2019 - August 30, 2019
MENTOR SECURITIES, LLC
February 19, 2019 - August 30, 2019
MENTOR SECURITIES, LLC
March 10, 2017 - September 16, 2017
HOLDUS CAPITAL INVESTMENTS ADVISORS
February 8, 2016 - February 23, 2017
FARMERS FINANCIAL SOLUTIONS, LLC
January 27, 2015 - April 3, 2015
MENTOR SECURITIES, LLC
November 20, 2013 - December 23, 2014
NMS CAPITAL SECURITIES, LLC
May 24, 2013 - October 17, 2013
AARON CAPITAL INCORPORATED
April 19, 2013 - October 17, 2013
AARON CAPITAL INCORPORATED
April 15, 2010 - August 22, 2011
MENTOR SECURITIES, LLC
February 4, 2009 - November 14, 2011
MENTOR SECURITIES, LLC
March 23, 2007 - January 7, 2009
WADDELL & REED
December 6, 2006 - January 7, 2009
WADDELL & REED
June 1, 2001 - January 10, 2005
THE KLEIN GROUP, 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: 1/2/2023
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.
