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DT

Duane K. Thames

TRANSAMERICA INVESTORS SECURITIES
Harrison, NY 10528
Some features on this profile are disabled
CRD#: 2873461
DT

Professional summary

Duane Kumar Thames, who also goes by Duane Daoud, Daoud Thames, David Thames, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Duane is registered as a RR (Registered Representative) and started their career in finance in 1997. Duane has worked at 8 firms and has passed the Series 63, Series 66, Series 6TO, SIE, Series 6, Series 7, Series 26, Series 10 and Series 9 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Duane Daoud | Daoud Thames | David Thames

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 Duane Kumar Thames'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®
None

Experience

Current

December 20, 2021 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
Harrison, NY
Past

November 17, 2015 - December 31, 2016

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
ST. PETERSBURG, FL
Past

October 3, 2011 - August 7, 2013

RAYMOND JAMES & ASSOCIATES, INC.

RIA
CRD#: 705
ST. PETERSBURG, FL
Past

September 30, 2011 - August 7, 2013

RAYMOND JAMES & ASSOCIATES, INC.

BD
CRD#: 705
ST. PETERSBURG, FL
Past

July 24, 2009 - August 24, 2011

HARRISDIRECT LLC

RIA
CRD#: 42159
ARLINGTON, VA
Past

February 10, 2006 - August 24, 2011

E*TRADE SECURITIES LLC

BD
CRD#: 29106
TAMPA, FL
Past

May 29, 2002 - May 8, 2006

BROWNCO, LLC

BD
CRD#: 1326
BOSTON, MA
Past

May 3, 1999 - May 22, 2001

NATIONAL CLEARING CORP.

BD
CRD#: 14343
SHERMAN OAKS, CA
Past

February 5, 1998 - February 25, 1998

DUKE & CO., INC.

BD
CRD#: 8035
NEW YORK, NY
Past

September 17, 1997 - December 19, 1997

CONTINENTAL BROKER-DEALER CORP.

BD
CRD#: 14048
CARLE PLACE, NY

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
Florida
(9/27/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 8/12/2022
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 6/29/2009
Uniform Combined State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/18/2021
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 9/27/2021
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/17/2015
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
Series 7
Date: 9/13/1997
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 6/22/2022
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/19/2004
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/15/2004
General Securities Sales Supervisor - Options Module 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#: 32205Harrison, NY 10528

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