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Cherie M. Nelson

TRANSAMERICA INVESTORS SECURITIES
Denver, CO 80202
Some features on this profile are disabled
CRD#: 5192797
CN

Professional summary

Cherie Marie Nelson, who also goes by Cherie M Nelson, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Denver, Colorado.

Cherie is registered as a RR (Registered Representative) and started their career in finance in 2006. Cherie has worked at 4 firms and has passed the SIE and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Cherie M Nelson

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 Cherie Marie Nelson'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

January 29, 2020 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 1801 California St. Suite 5200, Denver, CO 80202
BD
CRD#: 32205
Denver, CO
Past

June 22, 2018 - December 31, 2019

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

December 2, 2014 - December 31, 2016

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

April 14, 2010 - April 29, 2013

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

November 22, 2006 - August 17, 2009

NYLIFE DISTRIBUTORS LLC

BD
CRD#: 35350
WESTWOOD, MA
Past

August 3, 2006 - August 17, 2009

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

RIA
CRD#: 109591
NEW YORK, NY

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

General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 11/21/2006
Investment Company Products/Variable Contracts 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)

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#: 32205Denver, CO 80202

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