Humera Diwan
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.
Humera Diwan, CFP®, who also goes by Humera Adam, Humera Adam, was a registered financial professional .
Humera is a previously registered financial professional and started their career in finance in 1997. Humera had worked at 7 firms and has passed the Series 63, Series 65, Series 7TO, 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
July 10, 2024 - August 9, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 9, 2024 - August 9, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 4, 2021 - January 25, 2022
THE MILLSTONE EVANS GROUP, LLC
September 24, 2014 - December 31, 2020
RAYMOND JAMES & ASSOCIATES, INC.
September 24, 2014 - December 31, 2020
RAYMOND JAMES & ASSOCIATES, INC.
December 22, 2012 - March 12, 2014
RAYMOND JAMES & ASSOCIATES, INC.
December 13, 2012 - March 12, 2014
RAYMOND JAMES & ASSOCIATES, INC.
November 15, 2010 - December 21, 2010
WADDELL & REED
October 18, 2010 - December 21, 2010
WADDELL & REED
January 16, 2007 - April 29, 2009
RAYMOND JAMES & ASSOCIATES, INC.
April 9, 2001 - July 3, 2006
IDS LIFE INSURANCE COMPANY
April 9, 2001 - January 9, 2007
AMERIPRISE FINANCIAL SERVICES, LLC
May 1, 1998 - June 23, 1999
CITIGROUP GLOBAL MARKETS INC.
November 19, 1997 - January 15, 1998
IDS LIFE INSURANCE COMPANY
November 19, 1997 - January 15, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
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
Series 7TO
Date: 9/8/2022
General Securities Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
