Floyd L. Hollins
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.
Floyd Lawrence Hollins III, who also goes by Floyd Lawrence Hollins III, Floyd Lawrence Hollins, Floyd Hollins, Floyd Lawrence Hollins III, was a registered financial professional .
Floyd is a previously registered financial professional and started their career in finance in 1998. Floyd had worked at 13 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 19, 2018 - October 3, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 16, 2018 - October 3, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
May 11, 2015 - November 23, 2016
EAGLE STRATEGIES LLC
December 2, 2013 - November 23, 2016
NYLIFE SECURITIES LLC
December 12, 2008 - August 13, 2010
CHASE INVESTMENT SERVICES CORP.
December 12, 2008 - August 13, 2010
CHASE INVESTMENT SERVICES CORP.
November 14, 2008 - December 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
November 14, 2008 - December 9, 2008
BANC OF AMERICA INVESTMENT SERVICES, INC.
March 26, 2007 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2006 - September 3, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 7, 2005 - January 31, 2006
FIDELITY BROKERAGE SERVICES LLC
December 9, 2004 - July 13, 2005
NEW ENGLAND SECURITIES
March 31, 2003 - November 4, 2004
CHASE INVESTMENT SERVICES CORP.
July 30, 2001 - March 4, 2002
GUARANTY BROKERAGE SERVICES, INC.
March 22, 2001 - July 30, 2001
CAPITAL BROKERAGE CORPORATION
September 28, 2000 - March 7, 2001
PRINCIPAL SECURITIES, INC.
January 20, 2000 - September 15, 2000
MONY SECURITIES CORPORATION
July 20, 1999 - February 1, 2000
BANC ONE SECURITIES CORPORATION
September 30, 1998 - July 1, 1999
FIDELITY BROKERAGE 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
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.
