Scott Allan
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.
Scott Allan, who also goes by Scott Allan Barth, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1990. Scott had worked at 10 firms and has passed the Series 65, Series 63 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
May 7, 2004 - May 13, 2004
TRANSAMERICA FINANCIAL ADVISORS, INC.
September 25, 2000 - December 19, 2001
WADDELL & REED
April 29, 1999 - February 2, 2000
PRUDENTIAL EQUITY GROUP, LLC
June 12, 1997 - May 20, 1998
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 2, 1996 - November 19, 1996
OSAIC WEALTH, INC.
April 20, 1994 - December 31, 1994
AMERICAN EXPRESS SERVICE CORPORATION
August 6, 1993 - June 1, 1995
IDS LIFE INSURANCE COMPANY
August 6, 1993 - June 1, 1995
AMERIPRISE FINANCIAL SERVICES, LLC
February 12, 1993 - August 3, 1993
RAYMOND-MARTIN FINANCIAL INC.
October 28, 1992 - February 16, 1993
SOUTHERN CALIFORNIA SECURITIES, INC.
November 8, 1990 - October 8, 1992
INTERFIRST CAPITAL CORPORATION
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, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
