Martin C. Kuban
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.
Martin Charles Kuban, who also goes by Martin Kuban, was a registered financial professional .
Martin is a previously registered financial professional and started their career in finance in 1998. Martin had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 21, 2016 - April 10, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 12, 2016 - April 10, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 7, 2014 - November 9, 2015
PRINCIPAL SECURITIES, INC.
January 30, 2014 - November 9, 2015
PRINCIPAL SECURITIES, INC.
September 25, 2012 - January 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 24, 2012 - January 30, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 8, 2010 - August 22, 2012
U.S. BANCORP ADVISORS, LLC
March 8, 2010 - August 22, 2012
U.S. BANCORP ADVISORS, LLC
February 25, 2009 - February 1, 2010
INVESTMENT CENTERS OF AMERICA, INC.
February 25, 2009 - February 1, 2010
INVESTMENT CENTERS OF AMERICA, INC.
August 25, 2005 - February 24, 2009
EDWARD JONES
June 13, 2005 - February 24, 2009
EDWARD JONES
February 17, 2005 - June 20, 2005
WORLD GROUP SECURITIES, INC.
September 29, 2004 - February 10, 2005
FARMERS FINANCIAL SOLUTIONS, LLC
April 16, 2001 - September 10, 2004
CHARLES SCHWAB & CO., INC.
November 11, 1999 - September 10, 2004
CHARLES SCHWAB & CO., INC.
January 25, 1999 - May 28, 1999
BOFA DISTRIBUTORS, INC.
November 25, 1998 - January 13, 1999
SIMMERS CAPITAL MANAGEMENT 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.
