Sheila F. Arias
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.
Sheila F Arias, who also goes by Sheila F. Arias, Sheila F Chance, Sheila Fawn Chance, Sheila F Wright, Sheila Fawn Wright, was a registered financial professional .
Sheila is a previously registered financial professional and started their career in finance in 1973. Sheila had worked at 8 firms and has passed the Series 63, SIE, Series 6 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
April 3, 2014 - January 13, 2015
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 17, 1986 - October 31, 1986
INVESTACORP, INC.
August 1, 1983 - July 10, 1984
RICHEY, FRANKEL & COMPANY
March 24, 1982 - July 25, 1983
MORGAN STANLEY DW INC.
June 3, 1980 - March 28, 1982
G. S. OMNI CORPORATION
August 21, 1978 - June 16, 1980
NTB FINANCIAL CORPORATION
January 25, 1978 - September 14, 1978
M. S. WIEN & CO., INC.
December 24, 1973 - February 13, 1978
HANIFEN, IMHOFF 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 1
Date: 12/14/1973
Registered Representative ExaminationCurrent 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.
