James E. Owens
Professional summary
James Ervin Owens, who also goes by James Ervin Owens Jr, James Ervin Owens, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Natick, Massachusetts.
James is registered as a RR (Registered Representative) and started their career in finance in 1991. James has worked at 14 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view James Ervin Owens's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 25, 2017 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
February 21, 2014 - October 19, 2016
ONEAMERICA SECURITIES, INC.
August 25, 2009 - December 9, 2013
TRANSAMERICA INVESTORS SECURITIES, LLC
October 21, 2002 - December 24, 2008
EMPOWER FINANCIAL SERVICES, INC.
September 28, 2000 - March 10, 2001
DREYFUS INVESTMENT SERVICES COMPANY, LLC
July 5, 2000 - September 11, 2000
LINCOLN INVESTMENT
June 29, 1998 - May 2, 2000
DIRECTED SERVICES LLC
September 3, 1996 - January 27, 1997
METROPOLITAN LIFE INSURANCE COMPANY
September 3, 1996 - January 27, 1997
MSI FINANCIAL SERVICES, INC.
June 21, 1995 - July 17, 1996
AVANTAX INVESTMENT SERVICES, INC.
June 30, 1994 - November 14, 1994
DIRECTED SERVICES LLC
June 28, 1993 - July 21, 1994
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 28, 1993 - July 21, 1994
OSAIC FA, INC.
April 29, 1992 - June 16, 1993
DELAWARE DISTRIBUTORS, L.P.
May 9, 1991 - January 16, 1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
May 9, 1991 - January 16, 1992
PRUCO SECURITIES, LLC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2017)
Exams
FINRA
Current Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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