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DM

Dawn M. Mazzola

TRANSAMERICA INVESTORS SECURITIES
West Chester , PA
Some features on this profile are disabled
CRD#: 2511189
DM

Professional summary

Dawn Marie Mazzola, AIF®, who also goes by Dawn Marie Manganaro, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in West Chester , Pennsylvania.

Dawn is registered as a RR (Registered Representative) and started their career in finance in 1994. Dawn has worked at 6 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dawn Marie Manganaro

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Dawn Marie Mazzola's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
AIF®

Accredited Investment Fiduciary

Experience

Current

April 30, 2025 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
West Chester , PA
Past

May 1, 2024 - March 21, 2025

LINCOLN FINANCIAL DISTRIBUTORS, INC.

BD
CRD#: 145
HARTFORD, CT
Past

August 24, 2018 - May 1, 2024

OSAIC FA, INC.

BD
CRD#: 3978
FORT WAYNE, IN
Past

July 20, 2018 - August 28, 2018

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
WINDSOR, CT
Past

November 3, 1994 - August 3, 2018

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

October 11, 1994 - October 4, 1995

SYSTEMATIZED BENEFITS ADMINISTRATORS, INC.

BD
CRD#: 19242
WINDSOR, CT

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Connecticut
(4/30/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 8/21/2017
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 10/10/1994
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 12/8/2009
Investment Company Products/Variable Contracts Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
CALVI, ENNA MARIAMANAGER, TREASURER, AND FINANCIAL PRINCIPAL2373021
HEWITT, JAY ALLENMANAGER AND VICE PRESIDENT1687429
HOLGATE, GREGG WILLIAMPRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS2818725
POWERS, MARK JUDSONVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6173588

Disclosures

Regulatory Event1

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 INVESTORS SECURITIES, LLC

CRD#: 32205West Chester , PA

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