Herbert C. Schafer
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.
Herbert Chris Schafer, who also goes by Herb Schafer, was a registered financial professional .
Herbert is a previously registered financial professional and started their career in finance in 1970. Herbert had worked at 8 firms and has passed the Series 63, SIE 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
January 10, 1994 - April 4, 1995
TRANSAMERICA INVESTORS SECURITIES, LLC
November 24, 1993 - July 17, 2003
VOYA FINANCIAL PARTNERS, LLC
October 4, 1993 - November 24, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
October 2, 1990 - January 10, 1994
MONY SECURITIES CORPORATION
March 29, 1989 - August 24, 1993
HIMCO DISTRIBUTION SERVICES COMPANY
February 16, 1982 - August 21, 2020
PRUCO SECURITIES, LLC.
January 23, 1976 - October 15, 1990
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
December 21, 1970 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
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: 12/16/1970
Registered Representative ExaminationCurrent 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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