Adoram Shen
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.
Adoram Shen, who also goes by Sam Shen, was a registered financial professional .
Adoram is a previously registered financial professional and started their career in finance in 2001. Adoram had worked at 13 firms and has passed the Series 63, SIE, Series 55 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
January 21, 2015 - June 5, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 15, 2013 - October 14, 2013
XNERGY FINANCIAL LLC
October 12, 2011 - September 12, 2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 7, 2010 - January 24, 2011
EQUITABLE ADVISORS, LLC
October 8, 2009 - August 19, 2010
WORLD GROUP SECURITIES, INC.
May 29, 2007 - June 15, 2009
CITIGROUP GLOBAL MARKETS INC.
October 2, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
January 20, 2006 - June 29, 2006
W&S BROKERAGE SERVICES, INC.
April 7, 2004 - September 12, 2005
METROPOLITAN LIFE INSURANCE COMPANY
April 7, 2004 - September 12, 2005
MSI FINANCIAL SERVICES, INC.
June 17, 2003 - March 9, 2004
FIS BROKERAGE & SECURITIES SERVICES LLC
September 20, 2001 - June 4, 2003
SCHONFELD SECURITIES, LLC
August 8, 2001 - August 13, 2001
FASCO INTERNATIONAL, 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
Series 55
Date: 4/11/2002
Limited Representative-Equity Trader ExamCurrent 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.
