David P. Vondle
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.
David Paul Vondle JR, who also goes by D Paul Vondle, David Paul Vondle Jr., David Paul Vondle, Paul Vondle, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 2005. David had worked at 7 firms and has passed the Series 63, Series 7TO, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 20, 2022 - December 31, 2024
TRANSAMERICA INVESTORS SECURITIES, LLC
October 30, 2020 - March 10, 2021
LPL FINANCIAL LLC
October 31, 2012 - October 5, 2020
EMPOWER FINANCIAL SERVICES, INC.
October 13, 2010 - September 21, 2012
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
April 11, 2008 - January 7, 2009
PORTFOLIO BROKERAGE SERVICES, INC.
July 13, 2007 - January 16, 2008
TRANSAMERICA CAPITAL, LLC
October 31, 2005 - March 12, 2007
JACKSON NATIONAL LIFE DISTRIBUTORS LLC
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 7TO
Date: 3/5/2020
General Securities Representative ExaminationCurrent Firm
TRANSAMERICA INVESTORS SECURITIES, LLC
CRD#: 32205 / SEC#: , 8-45671
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA RETIREMENT SOLUTIONS, LLC | SHAREHOLDER | |
| CALVI, ENNA MARIA | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 2373021 |
| HEWITT, JAY ALLEN | MANAGER AND VICE PRESIDENT | 1687429 |
| HOLGATE, GREGG WILLIAM | PRESIDENT AND CHAIRMAN OF THE BOARD OF MANAGERS | 2818725 |
| POWERS, MARK JUDSON | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 6173588 |
Disclosures
| Regulatory Event | 1 |
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.
