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CD

Christina M. Di Cioccio

TRANSAMERICA INVESTORS SECURITIES
Hillsborough, NJ
Some features on this profile are disabled
CRD#: 2051429
CD

Professional summary

Christina M Di Cioccio, who also goes by Christina Marie Di Cioccio, Christina Marie Dicioccio, Christina Marie Westfall, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Hillsborough, New Jersey.

Christina is registered as a RR (Registered Representative) and started their career in finance in 1990. Christina has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Christina Marie Di Cioccio | Christina Marie Dicioccio | Christina Marie Westfall

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Christina M Di Cioccio's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 1, 2016 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Hillsborough, NJ
Past

October 13, 2015 - July 29, 2016

MORGAN STANLEY

RIA
CRD#: 149777
ALBANY, NY
Past

October 5, 2015 - July 29, 2016

MORGAN STANLEY

BD
CRD#: 149777
ALBANY, NY
Past

January 9, 2015 - March 25, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LATHAM, NY
Past

December 3, 2012 - June 17, 2014

HEALTHCARE COMMUNITY SECURITIES CORP.

RIA
CRD#: 36026
RENSSELAER, NY
Past

July 11, 2003 - June 17, 2014

HEALTHCARE COMMUNITY SECURITIES CORP.

BD
CRD#: 36026
RENSSELAER, NY
Past

January 28, 1995 - June 26, 2003

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, NJ
Past

April 15, 1992 - January 28, 1995

KIDDER, PEABODY & CO. INCORPORATED

BD
CRD#: 7613
NEW YORK, NY
Past

May 22, 1990 - April 11, 1992

GLEACHER & COMPANY SECURITIES, INC.

BD
CRD#: 298
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(8/21/2019)
RR
Florida
(10/14/2021)
RR
Massachusetts
(8/1/2016)
RR
New York
(8/1/2016)
RR
Pennsylvania
(8/21/2019)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/28/2002
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1990
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/19/1990
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/16/2015
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
CALVI, ENNA MARIAMANAGER, TREASURER, AND FINANCIAL PRINCIPAL2373021
HEWITT, JAY ALLENMANAGER AND VICE PRESIDENT1687429
HOLGATE, GREGG WILLIAMPRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS2818725
POWERS, MARK JUDSONVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6173588

Disclosures

Regulatory Event1

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.

Company Information

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205Hillsborough, NJ

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