Scott Adams
Professional summary
Scott Adams, who also goes by Scott Matthew Adams, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Franklin Lakes, New Jersey.
Scott is registered as a RR (Registered Representative) and started their career in finance in 1998. Scott has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Scott Adams's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 23, 2023 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
October 6, 2021 - January 19, 2023
VALIC FINANCIAL ADVISORS, INC.
April 23, 2021 - October 6, 2021
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
September 30, 2015 - December 31, 2020
MML DISTRIBUTORS, LLC
July 2, 2008 - July 24, 2015
LOCKTON INVESTMENT SECURITIES, LLC
April 25, 2008 - July 24, 2015
LOCKTON INVESTMENT ADVISORS, LLC
March 27, 2008 - July 2, 2008
OSAIC SERVICES, INC.
October 21, 2002 - February 12, 2008
EMPOWER FINANCIAL SERVICES, INC.
October 25, 1999 - October 21, 2002
ONE ORCHARD EQUITIES, INC.
January 5, 1998 - March 18, 1999
WADDELL & REED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
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Exams
FINRA
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
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