Onda L. Maughan
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.
Onda L Maughan, CFP®, who also goes by Onda Lea Hooper, Onda Lea Maughan, was a registered financial professional .
Onda is a previously registered financial professional and started their career in finance in 1999. Onda had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 14, 2018 - December 31, 2024
TRANSAMERICA INVESTORS SECURITIES, LLC
January 4, 2017 - November 13, 2018
TRANSAMERICA CAPITAL, LLC
January 13, 2016 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
November 6, 2014 - December 18, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
October 28, 2014 - December 18, 2015
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
June 5, 2012 - September 23, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - September 23, 2014
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 16, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
September 23, 2010 - December 31, 2010
WORLD GROUP SECURITIES, INC.
January 14, 2009 - November 12, 2009
AVATAR ASSOCIATES
February 1, 2007 - October 6, 2008
NATIONWIDE INVESTMENT SERVICES CORPORATION
July 17, 2006 - January 17, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
October 20, 2003 - August 23, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 21, 2003 - January 16, 2007
WORLD GROUP SECURITIES, INC.
May 1, 2001 - October 17, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 23, 2001 - March 4, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 5, 1999 - March 15, 2001
WMA SECURITIES, INC.
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
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