Randa J. Gruwell
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.
Randa J Gruwell, who also goes by Randa Jean Boulter, Randa Boulter, Randa Jean Gruwell, was a registered financial professional .
Randa is a previously registered financial professional and started their career in finance in 1994. Randa had worked at 4 firms and has passed the Series 63, Series 7, Series 51, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 2, 2012 - March 12, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 13, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 16, 2006 - December 2, 2010
WORLD GROUP SECURITIES, INC.
September 28, 2004 - May 25, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 12, 2004 - November 7, 2011
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 19, 1994 - January 27, 2004
RAYMOND JAMES & ASSOCIATES, 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
Series 8
Date: 4/29/1996
General Securities Sales Supervisor Examination (Options Module & General Module)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.
