Peter D. Diones
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.
Peter Donald Diones, who also goes by Pete Diones, was a registered financial professional .
Peter is a previously registered financial professional and started their career in finance in 1994. Peter had worked at 10 firms and has passed the Series 63, SIE, 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
February 23, 2017 - September 5, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
September 27, 2012 - November 16, 2015
ATEL SECURITIES CORPORATION
June 28, 2012 - September 17, 2012
ISAAK BOND INVESTMENTS, INC.
March 3, 2004 - June 25, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
May 29, 2002 - December 31, 2002
FISERV INVESTOR SERVICES, INC.
November 7, 2001 - December 31, 2002
TRADESTAR INVESTMENTS,INC.
November 27, 2000 - June 7, 2001
FISERV CORRESPONDENT SERVICES, INC.
June 3, 1998 - November 20, 2000
AMERICUS INVESTMENT CORP.
November 21, 1995 - February 20, 1997
HANIFEN, IMHOFF INC.
June 22, 1994 - April 4, 1995
JANUS HENDERSON DISTRIBUTORS US LLC
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 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 | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| 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
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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