James C. Mylett
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.
James Christopher Mylett, who also goes by James C Mylett, James Christopher Mylett, James C Mylett, Jim Mylett, James Mylett, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, 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
August 17, 2023 - September 14, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
August 9, 2023 - September 14, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
April 13, 2021 - April 21, 2022
FIDELITY PERSONAL AND WORKPLACE ADVISORS
March 12, 2021 - April 18, 2022
FIDELITY BROKERAGE SERVICES LLC
December 22, 2020 - January 29, 2021
PRUCO SECURITIES, LLC.
December 3, 2019 - June 29, 2020
NYLIFE SECURITIES LLC
April 25, 2014 - September 17, 2019
J.P. MORGAN SECURITIES LLC
April 25, 2014 - September 17, 2019
J.P. MORGAN SECURITIES LLC
January 28, 2013 - December 2, 2013
MORGAN STANLEY
January 18, 2013 - December 2, 2013
MORGAN STANLEY
June 14, 2006 - October 2, 2008
BEAR STEARNS ASSET MANAGEMENT INC.
June 14, 2006 - October 2, 2008
J.P. MORGAN SECURITIES LLC
September 7, 2000 - January 6, 2006
LEVCO SECURITIES, INC.
November 15, 1994 - August 24, 2000
LAZARD FRERES & CO. LLC
April 18, 1990 - November 14, 1994
KIDDER, PEABODY & CO. INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
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 RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
