Jayne E. Flood
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.
Jayne Ellen Flood, who also goes by Jayne E Conte, was a registered financial professional .
Jayne is a previously registered financial professional and started their career in finance in 1997. Jayne had worked at 7 firms and has passed the Series 65, SIE, Series 7 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
June 19, 2009 - October 28, 2009
TRANSAMERICA SECURITIES SALES CORPORATION
June 10, 2009 - September 4, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
March 28, 2007 - December 8, 2015
TRANSAMERICA CAPITAL, LLC
December 8, 2004 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 26, 2000 - December 1, 2000
TRANSAMERICA CAPITAL, LLC
April 11, 2000 - December 17, 2003
TRANSAMERICA INVESTORS SECURITIES, LLC
October 28, 1998 - June 4, 2007
AFSG SECURITIES CORPORATION
May 4, 1998 - December 11, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 20, 1997 - March 13, 1998
BARNETT INVESTMENTS, INC.
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 SECURITIES SALES CORPORATION
CRD#: 17970 / SEC#: , 8-35847
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | TREASURER | 3162477 |
| CHUANG, GEORGE CHUWANG | VICE PRESIDENT AND FINANCIAL PRINCIPAL | 3162477 |
| CHUANG, GEORGE CHUWANG | PRESIDENT | 3162477 |
| CHUANG, GEORGE CHUWANG | CHIEF FINANCIAL OFFICER | 3162477 |
| GOK, LISA ANNE | DIRECTOR | 5059738 |
| RIDER, KERRY KEARNS | CHIEF COMPLIANCE OFFICER, SECRETARY | 2166195 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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