Thomas M. Stephenitch
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.
Thomas M Stephenitch, who also goes by Thomas Matthew Stephenitch, Thomas Stephenitch, Tom Stephenitch, was a registered financial professional .
Thomas is a previously registered financial professional and started their career in finance in 1993. Thomas had worked at 7 firms and has passed the Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 25, 2019 - March 30, 2021
TRANSAMERICA INVESTORS SECURITIES, LLC
January 3, 2018 - September 19, 2019
VALIC FINANCIAL ADVISORS, INC.
January 4, 2017 - January 5, 2018
TRANSAMERICA CAPITAL, LLC
July 13, 2011 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
March 13, 2002 - June 7, 2011
NYLIFE DISTRIBUTORS LLC
August 28, 2001 - March 7, 2002
NYLIFE SECURITIES LLC
April 6, 1999 - July 11, 2001
NYLIFE SECURITIES LLC
March 4, 1997 - February 11, 1999
AMERICAN CENTURY INVESTMENT SERVICES INC.
March 10, 1993 - December 23, 1996
THE GREAT-WEST LIFE ASSURANCE COMPANY
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 6TO
Date: 12/22/2022
Investment Company Products/Variable Contracts Representative ExaminationCurrent 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 | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| 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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