Jayme C. Brown
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.
Jayme Corynne Brown, who also goes by Jayme C Brown, Jayme Corynne Howell, Jayme Corynne Howell, Jayme Corynne Wood, Jayme Corynne Wood, was a registered financial professional .
Jayme is a previously registered financial professional and started their career in finance in 2001. Jayme had worked at 9 firms and has passed the Series 63, Series 66, SIE, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 8, 2018 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 22, 2016 - November 13, 2017
RETIREONE INVESTMENT SERVICES, LLC
January 13, 2015 - April 22, 2016
SANDERS MORRIS LLC
December 4, 2013 - January 14, 2015
AMERIPRISE FINANCIAL SERVICES, LLC
July 22, 2013 - October 30, 2013
WADDELL & REED
April 19, 2012 - September 6, 2012
MUTUAL SECURITIES, INC.
June 21, 2010 - September 15, 2011
NYLIFE SECURITIES LLC
March 26, 2009 - January 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
March 13, 2009 - January 4, 2010
AMERIPRISE FINANCIAL SERVICES, LLC
October 11, 2001 - April 14, 2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 29, 2001 - September 14, 2001
UBS FINANCIAL SERVICES 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.
