Elayne S. Mitchell
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.
Elayne Sudak Mitchell, who also goes by Elayne Voldrich, was a registered financial advisor .
Elayne is a previously registered financial advisor and started their career in finance in 1971. Elayne had worked at 11 firms and has passed the Series 63, Series 6, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 24, 2002 - December 31, 2003
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 23, 2001 - July 1, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 12, 1989 - August 1, 1995
TRANSAMERICA SECURITIES SALES CORPORATION
September 12, 1989 - December 31, 1996
TRANSAMERICA FINANCIAL ADVISORS, INC.
February 21, 1989 - August 14, 1989
CHARTER ONE SECURITIES, INC.
December 6, 1988 - February 6, 1989
CIDCO INVESTMENT SERVICES, INC.
November 1, 1988 - December 19, 1988
INVESTACORP, INC.
May 24, 1977 - November 16, 1988
ANCHOR NATIONAL FINANCIAL SERVICES, INC.
April 21, 1975 - July 23, 1977
WILL S. HALLE & COMPANY
September 12, 1974 - May 14, 1975
FINANCIAL AMERICA SECURITIES, INC.
July 23, 1973 - October 18, 1974
NORMALI - WOODWORTH
September 10, 1971 - July 23, 1973
FIRST MIDWEST 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
Series 1
Date: 9/4/1971
Registered Representative ExaminationSeries 00
Date: 6/24/1972
General Securities Principal ExaminationCurrent 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.
