Jonathan D. Shuman
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.
Jonathan David Shuman was a registered financial professional .
Jonathan is a previously registered financial professional and started their career in finance in 1998. Jonathan had worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 26, 2021 - December 31, 2024
TRANSAMERICA INVESTORS SECURITIES, LLC
May 1, 2014 - September 20, 2019
MML DISTRIBUTORS, LLC
September 12, 2007 - May 1, 2014
MML INVESTORS SERVICES, LLC
April 12, 2006 - June 25, 2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.
July 26, 2002 - April 5, 2006
PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC
December 2, 1998 - July 15, 2002
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP
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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