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MD

Michael J. Dooley

TRANSAMERICA INVESTORS SECURITIES
Palm City, FL
Some features on this profile are disabled
CRD#: 2210976
MD

Professional summary

Michael Joseph Dooley, CFP® is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Palm City, Florida.

Michael is registered as a RR (Registered Representative) and started their career in finance in 1992. Michael has worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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 Michael Joseph Dooley'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®
CFP®

Certified Financial Planner

Start date: 2001

Experience

Current

July 1, 2022 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Palm City, FL
Past

March 24, 2020 - June 29, 2022

PRUDENTIAL ANNUITIES DISTRIBUTORS, INC

BD
CRD#: 21570
Canonsburg, PA
Past

June 14, 2018 - March 31, 2020

PRUCO SECURITIES, LLC.

BD
CRD#: 5685
NEWARK, NJ
Past

January 28, 2015 - June 4, 2018

CAPITAL ONE ADVISORS, LLC

RIA
CRD#: 136865
McLean, VA
Past

January 2, 2015 - June 4, 2018

CAPITAL ONE INVESTING, LLC

BD
CRD#: 45744
McLean, VA
Past

April 26, 2010 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA
CRD#: 127236
MELVILLE, NY
Past

April 26, 2010 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

BD
CRD#: 25658
MCLEAN, VA
Past

October 30, 1997 - May 7, 2010

CHEVY CHASE FINANCIAL SERVICES

RIA
CRD#: 14894
BETHESDA, MD
Past

January 13, 1995 - May 1, 2010

CHEVY CHASE FINANCIAL SERVICES

BD
CRD#: 14894
BETHESDA, MD
Past

May 28, 1992 - February 21, 1995

SECURIAN FINANCIAL SERVICES, INC.

BD
CRD#: 15296
ST. PAUL, MN

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
Delaware
(12/21/2022)
RR
Maryland
(7/1/2022)

Exams

State Security Law Exam
IAR
Series 65
Date: 7/15/1997
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/28/1992
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: 5/15/2000
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 5/27/1992
Investment Company Products/Variable Contracts Representative 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#: 32205Palm City, FL

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