Frank G. Ogiela
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.
Frank Gabriel Ogiela was a registered financial professional .
Frank is a previously registered financial professional and started their career in finance in 1968. Frank had worked at 6 firms and has passed the Series 63, Series 5 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 11, 1991 - October 9, 1991
TRANSAMERICA FINANCIAL ADVISORS, INC.
July 19, 1988 - December 30, 1988
DONALD & CO. SECURITIES INC.
March 31, 1980 - July 10, 1986
DAIN RAUSCHER INCORPORATED
January 31, 1980 - May 1, 1980
UBS FINANCIAL SERVICES INC.
August 27, 1973 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
October 30, 1968 - September 3, 1973
MITCHUM, JONES & TEMPLETON INCORPORATED
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 5
Date: 12/12/1981
Interest Rate Options ExaminationSeries 1
Date: 3/9/1961
Registered Representative ExaminationCurrent Firm
TRANSAMERICA FINANCIAL ADVISORS, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
Red Flags
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