Johnny R. Feighert
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.
Johnny Ray Feighert II, who also goes by John Feighert II, John Feighert III, Johnny Ray Feighert Ii, Johnny Ray Feighert, Feighert R John Ii, Feighert R John Iii, Feighert R John, Feighert John Ii, Feighert John Iii, Feighert John, Feighert Ray Johnny Ii, Feighert Ray Johnny Iii, was a registered financial professional .
Johnny is a previously registered financial professional and started their career in finance in 1997. Johnny had worked at 5 firms and has passed the Series 63, 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
November 18, 2019 - September 2, 2020
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 8, 2016 - June 7, 2019
THRIVENT INVESTMENT MANAGEMENT INC.
September 14, 2012 - December 31, 2012
AMERICAN CENTURY BROKERAGE, INC.
August 22, 2006 - September 22, 2014
AMERICAN CENTURY INVESTMENT SERVICES INC.
May 1, 1997 - July 12, 2006
VANGUARD MARKETING CORPORATION
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.
