Scott Adams
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.
Scott Adams, who also goes by Scott Matthew Adams, was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1998. Scott had 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)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2023 - December 2, 2025
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
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 | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| 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.
