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JE

James S. Ewing

TRANSAMERICA INVESTORS SECURITIES
Fort Mill, SC
Some features on this profile are disabled
CRD#: 4923006
JE

Professional summary

James Squire Ewing, who also goes by James Squire Ewing, James Ewing, Seamus Ewing, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Fort Mill, South Carolina.

James is registered as a RR (Registered Representative) and started their career in finance in 2005. James has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 26 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Squire Ewing | James Ewing | Seamus Ewing

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view James Squire Ewing's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

November 14, 2022 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Fort Mill, SC
Past

September 21, 2022 - October 17, 2022

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
Lone Tree, CO
Past

October 21, 2010 - December 21, 2020

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
DENVER, CO
Past

April 25, 2005 - April 13, 2009

JANUS HENDERSON DISTRIBUTORS US LLC

BD
CRD#: 28832
DENVER, CO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
Kentucky
(11/15/2022)
RR
Ohio
(11/14/2022)
RR
Pennsylvania
(11/15/2022)
RR
West Virginia
(11/14/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 4/27/2005
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/15/2009
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 4/5/2005
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 1/2/2023
Investment Company Products/Variable Contracts Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 7/19/2012
General Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TI
TRANSAMERICA INVESTORS SECURITIES, LLC
DIVERSIFIED INVESTORS SECURITIES CORP. | TRANSAMERICA INVESTORS SECURITIES, LLC | TRANSAMERICA INVESTORS SECURITIES CORPORATION

CRD#: 32205 / SEC#: , 8-45671

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information

Main Address
440 Mamaroneck Avenue, Harrison, NY 10528
Mailing Address
440 Mamaroneck Avenue, Harrison, NY 10528
Phone number
(914) 627-3000
Established
Delaware since 12/31/2024
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
CALVI, ENNA MARIAMANAGER, TREASURER, AND FINANCIAL PRINCIPAL2373021
HEWITT, JAY ALLENMANAGER AND VICE PRESIDENT1687429
HOLGATE, GREGG WILLIAMPRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS2818725
POWERS, MARK JUDSONVICE PRESIDENT AND CHIEF COMPLIANCE OFFICER6173588

Disclosures

Regulatory Event1

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.

Company Information

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205Fort Mill, SC

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