Stephen J. Marotto
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.
Stephen James Marotto, who also goes by Steve Marotto, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1994. Stephen had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 26, 2018 - December 31, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 10, 2016 - November 17, 2017
DAVID LERNER ASSOCIATES, INC.
November 17, 2011 - July 24, 2012
WELLS FARGO CLEARING SERVICES, LLC
November 17, 2011 - July 24, 2012
WELLS FARGO CLEARING SERVICES, LLC
August 21, 2007 - November 22, 2011
TD AMERITRADE, INC.
August 2, 2007 - November 22, 2011
TD AMERITRADE, INC.
August 2, 2007 - November 22, 2011
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
September 7, 2004 - November 4, 2005
CHASE INVESTMENT SERVICES CORP.
September 7, 2004 - November 4, 2005
CHASE INVESTMENT SERVICES CORP.
February 10, 2003 - September 7, 2004
M&T SECURITIES, INC.
January 18, 2001 - February 12, 2003
PRUDENTIAL EQUITY GROUP, LLC
June 9, 1998 - January 25, 2001
MORGAN STANLEY DW INC.
April 2, 1996 - October 9, 1996
METROPOLITAN LIFE INSURANCE COMPANY
April 2, 1996 - October 9, 1996
MSI FINANCIAL SERVICES, INC.
February 24, 1994 - September 13, 1995
METROPOLITAN LIFE INSURANCE COMPANY
February 24, 1994 - September 13, 1995
MSI FINANCIAL SERVICES, 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.
