Carolyn K. Matthews
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.
Carolyn Katherine Matthews, who also goes by Carolyn Katherine Matthews-staples, Carolyn Mccallstaples, Carolyn K Staples, was a registered financial professional .
Carolyn is a previously registered financial professional and started their career in finance in 1998. Carolyn had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 7 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
July 31, 2012 - December 7, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
July 31, 2012 - December 7, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2011 - June 28, 2012
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - June 28, 2012
VOYA FINANCIAL ADVISORS, INC.
June 5, 2008 - December 15, 2010
INVESTMENT ADVISORS INTERNATIONAL, INC.
June 5, 2004 - December 15, 2010
WORLD GROUP SECURITIES, INC.
March 14, 2001 - May 7, 2004
MSI FINANCIAL SERVICES, INC.
July 13, 1999 - May 7, 2004
METROPOLITAN LIFE INSURANCE COMPANY
July 13, 1999 - May 7, 2004
MSI FINANCIAL SERVICES, INC.
December 10, 1998 - June 3, 1999
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 19, 1998 - November 20, 1998
NATIONWIDE INVESTMENT SERVICES CORPORATION
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
Current 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.
