Gregory W. Mcfarlane
Professional summary
Gregory William Mcfarlane is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Mooresville, North Carolina.
Gregory is registered as a RR (Registered Representative) and started their career in finance in 2006. Gregory has worked at 2 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Gregory William Mcfarlane's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2019 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
January 4, 2017 - July 1, 2019
TRANSAMERICA CAPITAL, LLC
December 5, 2006 - January 4, 2017
TRANSAMERICA INVESTORS SECURITIES, 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
(7/1/2019)
Exams
FINRA
Current 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 |
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