Josefino D. Teodoro
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.
Josefino Dasalla Teodoro JR, who also goes by Ted D Teodoro, Ted Teodoro Jr, was a registered financial professional .
Josefino is a previously registered financial professional and started their career in finance in 1994. Josefino had worked at 6 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 8, 2014 - November 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 7, 2014 - November 7, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 18, 2007 - June 18, 2013
SCOTTRADE, INC.
April 25, 2006 - January 18, 2007
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
August 12, 2003 - January 18, 2007
TD AMERITRADE, INC.
September 13, 1996 - January 18, 2007
TD AMERITRADE, INC.
July 8, 1995 - August 26, 1996
D. H. BLAIR & CO., INC.
November 18, 1994 - February 3, 1995
CONTINENTAL BROKER-DEALER CORP.
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.
