James Cahoon
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.
James Cahoon II, who also goes by James Cahoon, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1993. James had worked at 16 firms and has passed the Series 65, Series 63, Series 7 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
July 27, 2020 - December 13, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 1, 2019 - May 21, 2020
WEALTH WATCH ADVISORS, INC
March 20, 2018 - September 20, 2019
SGL FINANCIAL, LLC
March 15, 2016 - February 9, 2018
FIRST ADVISORS NATIONAL, LLC
January 15, 2016 - February 18, 2016
REDHAWK WEALTH ADVISORS, INC.
December 8, 2004 - October 18, 2005
NATCITY INVESTMENTS, INC.
August 29, 2003 - October 29, 2004
VALIC FINANCIAL ADVISORS, INC.
August 21, 2003 - October 29, 2004
VALIC FINANCIAL ADVISORS, INC.
June 3, 2002 - August 4, 2003
FORESTERS EQUITY SERVICES, INC.
February 15, 2002 - May 31, 2002
THE O.N. EQUITY SALES COMPANY
August 13, 2001 - December 10, 2001
1717 CAPITAL MANAGEMENT COMPANY
February 11, 2000 - August 20, 2001
WADDELL & REED
January 31, 1997 - March 17, 1997
OSAIC WEALTH, INC.
December 23, 1996 - January 31, 1997
KEOGLER, MORGAN & COMPANY, INC.
July 27, 1994 - December 31, 1994
WMA SECURITIES, INC.
July 20, 1994 - August 11, 1994
AEGON USA SECURITIES INC.
December 10, 1993 - July 14, 1994
OSAIC WEALTH, INC.
February 1, 1993 - March 29, 1993
EDWARD JONES
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Financial ProfessionalCRD#: 16164TRUST BUT VERIFY
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