Aaron P. Sharma
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.
Aaron Prasad Sharma, CFP®, who also goes by Aaron P Sharma, Aaron Sharma, Narendra P Sharma, Narendra Prasad Sharma, was a registered financial professional .
Aaron is a previously registered financial professional and started their career in finance in 1993. Aaron had worked at 8 firms and has passed the Series 63, SIE 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
Start date: 1992
Experience
September 23, 2014 - December 23, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 23, 2014 - December 23, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 16, 2008 - January 7, 2015
NWF ADVISORY SERVICES INC
March 18, 2008 - September 19, 2014
OSAIC WEALTH, INC.
February 22, 2008 - September 19, 2014
OSAIC WEALTH, INC.
July 18, 2007 - November 19, 2007
EQUITY SERVICES, INC.
January 14, 2003 - January 24, 2007
STIFEL INDEPENDENT ADVISORS, LLC
January 14, 2003 - January 24, 2007
STIFEL INDEPENDENT ADVISORS, LLC
February 3, 1994 - January 17, 2003
FFP ADVISORY SERVICES INC
January 24, 1994 - January 17, 2003
FFP SECURITIES, INC.
February 1, 1993 - January 1, 1994
INTERFIRST CAPITAL CORPORATION
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.
