Keisha D. Johnson
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.
Keisha Diane Johnson, who also goes by Keisha Diane Johnson, Keisha Johnson, was a registered financial professional .
Keisha is a previously registered financial professional and started their career in finance in 2011. Keisha had worked at 7 firms and has passed the Series 66, SIE, Series 31 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
December 23, 2021 - February 1, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
December 23, 2021 - February 1, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 24, 2019 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
October 18, 2019 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 21, 2017 - November 2, 2017
STRATEGIC ADVISERS LLC
January 9, 2017 - November 1, 2017
FIDELITY BROKERAGE SERVICES LLC
February 1, 2016 - December 20, 2016
MORGAN STANLEY
February 1, 2016 - December 20, 2016
MORGAN STANLEY
November 23, 2015 - December 16, 2015
TD AMERITRADE, INC.
November 23, 2015 - December 16, 2015
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 5, 2015 - December 16, 2015
TD AMERITRADE, INC.
October 14, 2011 - March 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 14, 2011 - March 21, 2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
June 13, 2011 - October 27, 2011
MORGAN STANLEY
May 13, 2011 - October 27, 2011
MORGAN STANLEY
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.
