Marc G. Tellez
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.
Marc G. Tellez, who also goes by Marc Geno Tellez, was a registered financial professional .
Marc is a previously registered financial professional and started their career in finance in 2000. Marc had worked at 4 firms and has passed the Series 63, Series 65, Series 66, SIE, Series 6 and Series 7 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, 2016 - March 7, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 4, 2016 - March 7, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
June 28, 2006 - May 13, 2011
CHARLES SCHWAB & CO., INC.
January 11, 2006 - May 13, 2011
CHARLES SCHWAB & CO., INC.
December 3, 2004 - December 16, 2005
CHASE INVESTMENT SERVICES CORP.
July 30, 2004 - January 18, 2006
BANC ONE SECURITIES CORPORATION
April 26, 2000 - December 10, 2003
CHARLES SCHWAB & CO., INC.
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.
