Pamela L. Kourtakis
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.
Pamela Lynn Kourtakis, who also goes by Pamela L Kourtakis, was a registered financial professional .
Pamela is a previously registered financial professional and started their career in finance in 1996. Pamela had worked at 16 firms and has passed the Series 65, Series 63, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 12, 2022 - May 4, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 10, 2022 - May 4, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 7, 2020 - January 17, 2020
EQUITY SERVICES, INC.
January 7, 2020 - January 17, 2020
EQUITY SERVICES, INC.
March 25, 2017 - February 22, 2018
MML INVESTORS SERVICES, LLC
March 25, 2017 - February 22, 2018
MML INVESTORS SERVICES, LLC
November 4, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
November 2, 2015 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
October 1, 2012 - November 12, 2015
J.P. MORGAN SECURITIES LLC
October 1, 2012 - November 12, 2015
J.P. MORGAN SECURITIES LLC
May 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 16, 2012 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 16, 2010 - March 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
November 16, 2010 - March 13, 2012
BANCWEST INVESTMENT SERVICES, INC.
August 14, 2009 - November 5, 2010
U.S. BANCORP ADVISORS, LLC
August 14, 2009 - November 5, 2010
U.S. BANCORP ADVISORS, LLC
May 2, 2009 - August 3, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 3, 2009
CHASE INVESTMENT SERVICES CORP.
March 24, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
March 24, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
June 13, 2005 - October 10, 2005
ATLAS SECURITIES, LLC
January 28, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 28, 2004 - June 3, 2005
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 20, 2001 - October 31, 2002
WELLS FARGO INVESTMENTS, LLC
May 2, 2001 - October 31, 2002
WELLS FARGO INVESTMENTS, LLC
April 18, 2001 - May 2, 2001
WELLS FARGO SECURITIES INC.
January 1, 1999 - April 30, 2001
WAMU INVESTMENTS, INC.
August 25, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
February 24, 1997 - August 20, 1998
J. ALEXANDER SECURITIES, INC.
October 30, 1996 - February 26, 1997
TOLUCA PACIFIC SECURITIES 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
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationCurrent 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.
