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DS

Dawn R. Sander

TRANSAMERICA INVESTORS SECURITIES
HARRISON, NY 10528
CRD#: 5041489
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DS
Dawn Renee SanderTRANSAMERICA INVESTORS SECURITIES

Professional summary

Dawn Renee Sander, who also goes by Dawn R Duvall Ms., is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Dawn is registered as a RR (Registered Representative) and started their career in finance in 2005. Dawn has worked at 4 firms and has passed the Series 63, Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Dawn R Duvall Ms.

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 Dawn Renee Sander'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

June 16, 2026 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
HARRISON, NY
Past

December 5, 2014 - February 16, 2024

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE
Past

January 2, 2013 - January 15, 2013

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

BD
CRD#: 611
OMAHA, NE
Past

October 8, 2007 - October 5, 2010

PRINCIPAL SECURITIES, INC.

RIA
CRD#: 1137
MASON CITY, IA
Past

September 18, 2007 - October 5, 2010

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
MASON CITY, IA
Past

December 5, 2006 - August 10, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

RIA
CRD#: 18387
BELMOND, IA
Past

December 2, 2005 - August 10, 2007

THRIVENT INVESTMENT MANAGEMENT INC.

BD
CRD#: 18387
BELMOND, IA

State Registrations and Notice Filings

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

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/28/2015
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 12/1/2006
Uniform Combined 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: 12/1/2005
General Securities Representative 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)

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
TRANSAMERICA RETIREMENT SOLUTIONS, LLCSHAREHOLDER
BEITZEL, BRIANMANAGER, TREASURER, AND FINANCIAL PRINCIPAL6183770
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

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Company Information

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205Harrison, NY 10528

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