John L. Green
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.
John Louis Green JR, who also goes by John Louis Green, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1994. John had worked at 8 firms and has passed the Series 63, 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
July 19, 2017 - December 31, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 2, 2015 - December 31, 2016
PRINCIPAL SECURITIES, INC.
March 15, 2010 - April 8, 2011
VALIC FINANCIAL ADVISORS, INC.
January 23, 2009 - January 15, 2010
SECURITIES AMERICA, INC.
November 19, 2004 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
November 11, 2003 - November 30, 2004
WORLD GROUP SECURITIES, INC.
May 15, 2003 - August 19, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - March 20, 2003
WORLD GROUP SECURITIES, INC.
April 17, 1996 - April 12, 2002
WMA SECURITIES, INC.
October 27, 1994 - April 18, 1996
PFS INVESTMENTS 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.
