Christopher T. Lacey
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.
Christopher Todd Lacey was a registered financial professional .
Christopher is a previously registered financial professional and started their career in finance in 1998. Christopher had worked at 7 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
May 31, 2011 - December 5, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
September 24, 2009 - May 27, 2011
THE (K)LARITY GROUP
March 4, 2008 - November 29, 2010
NRP ADVISORS, INC.
January 3, 2007 - October 20, 2008
NRP FINANCIAL, INC.
January 3, 2007 - November 29, 2010
NRP FINANCIAL, INC.
May 30, 2006 - January 4, 2007
AMERICAN SECURITIES GROUP, INC.
February 2, 2006 - January 4, 2007
AMERICAN SECURITIES GROUP, INC.
July 15, 2005 - January 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
May 18, 2004 - January 10, 2006
WELLS FARGO CLEARING SERVICES, LLC
February 1, 2003 - May 7, 2004
TRANSAMERICA INVESTORS SECURITIES, LLC
September 11, 1998 - February 1, 2003
TRANSAMERICA SECURITIES SALES CORPORATION
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 | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| 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.
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