Gian D. Bernardi
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.
Gian Daniel Bernardi, AIF® was a registered financial professional .
Gian is a previously registered financial professional and started their career in finance in 1998. Gian had worked at 9 firms and has passed the Series 65, Series 63, SIE 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
July 1, 2019 - April 1, 2026
TRANSAMERICA INVESTORS SECURITIES, LLC
January 4, 2017 - July 1, 2019
TRANSAMERICA CAPITAL, LLC
January 15, 2016 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
March 31, 2015 - January 7, 2016
PARK AVENUE SECURITIES LLC
August 6, 2009 - March 31, 2015
GUARDIAN INVESTOR SERVICES LLC
April 23, 2007 - July 15, 2009
STANCORP INVESTMENT ADVISERS, INC.
February 28, 2007 - July 15, 2009
STANCORP EQUITIES, INC.
August 30, 2006 - February 26, 2007
MML INVESTORS SERVICES, LLC
January 26, 2005 - August 30, 2006
MML DISTRIBUTORS, LLC
October 16, 2002 - November 10, 2004
ALLIANCEBERNSTEIN INVESTMENTS, INC.
April 2, 1998 - July 21, 2000
TRANSAMERICA INVESTORS SECURITIES, LLC
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
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