Dante Acosta
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.
Dante Acosta was a registered financial professional .
Dante is a previously registered financial professional and started their career in finance in 1992. Dante had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 31 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
July 9, 2014 - May 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 20, 2014 - May 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 12, 2011 - June 27, 2012
U.S. BANCORP ADVISORS, LLC
September 12, 2011 - June 27, 2012
U.S. BANCORP ADVISORS, LLC
August 24, 2010 - May 20, 2011
BANCWEST INVESTMENT SERVICES, INC.
August 23, 2010 - May 20, 2011
BANCWEST INVESTMENT SERVICES, INC.
June 19, 2009 - August 19, 2009
CHASE INVESTMENT SERVICES CORP.
June 18, 2009 - August 19, 2009
CHASE INVESTMENT SERVICES CORP.
April 10, 2007 - October 21, 2008
VOYA FINANCIAL PARTNERS, LLC
August 12, 2005 - June 7, 2006
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC
March 3, 2004 - July 25, 2005
GLOBAL ATLANTIC DISTRIBUTORS, LLC
June 21, 2002 - December 11, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
June 20, 2002 - December 11, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 15, 2001 - June 25, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - June 25, 2002
WELLS FARGO INVESTMENTS, LLC
March 27, 1995 - May 2, 2001
WELLS FARGO SECURITIES INC.
April 23, 1992 - April 6, 1995
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
