Gunter Villegas
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.
Gunter Villegas, who also goes by Gunter G VIllegas, was a registered financial professional .
Gunter is a previously registered financial professional and started their career in finance in 2000. Gunter had worked at 9 firms and has passed the 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
July 7, 2021 - October 28, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 10, 2019 - August 14, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
February 13, 2019 - March 5, 2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 19, 2012 - September 12, 2017
SANTANDER SECURITIES LLC
March 24, 2011 - February 2, 2012
CHASE INVESTMENT SERVICES CORP.
May 24, 2010 - October 20, 2010
WELLS FARGO CLEARING SERVICES, LLC
July 2, 2009 - May 12, 2010
HSBC SECURITIES (USA) INC.
August 18, 2005 - January 29, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
December 19, 2003 - December 31, 2004
CHASE INVESTMENT SERVICES CORP.
March 28, 2002 - May 28, 2002
MONY SECURITIES CORPORATION
July 26, 2000 - October 12, 2000
NYLIFE SECURITIES 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.
