Marie-josie M. Weber
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.
Marie-josie Mathilde Weber, who also goes by Josie M Weber, Josie Weber, Marie Jose Mathilde Weber, was a registered financial professional .
Marie-josie is a previously registered financial professional and started their career in finance in 1989. Marie-josie had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 29, 2015 - April 4, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
October 31, 2008 - April 4, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
January 20, 2005 - November 23, 2007
TRANSAMERICA INVESTORS SECURITIES, LLC
July 28, 1999 - January 6, 2004
CAPITAL CLIENT GROUP, INC.
July 27, 1993 - May 20, 1998
CITICORP SECURITIES, INC.
June 12, 1989 - September 5, 1989
BAILARD FUND SERVICES, INC.
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.
