James E. Bayard
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.
James Edward Bayard, who also goes by Jim Bayard, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1997. James had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2014 - June 4, 2024
TRANSAMERICA INVESTORS SECURITIES, LLC
April 28, 2010 - June 20, 2013
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
April 28, 2010 - June 20, 2013
NYLIFE DISTRIBUTORS LLC
October 23, 2009 - March 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - March 19, 2010
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 18, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
August 25, 2005 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 30, 1999 - March 21, 2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
July 15, 1997 - March 11, 1998
METROPOLITAN LIFE INSURANCE COMPANY
July 15, 1997 - March 11, 1998
MSI FINANCIAL SERVICES, 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 INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
