Heather N. Malfa
Professional summary
Heather Noelle Malfa, who also goes by Heather N Barker, Heather Noelle Barker, Heather Noelle Prosser, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.
Heather is registered as a RR (Registered Representative) and started their career in finance in 2007. Heather has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Heather Noelle Malfa's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 7, 2020 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528June 23, 2015 - December 31, 2019
TRANSAMERICA CAPITAL, LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 1, 2012 - December 31, 2013
J.P. MORGAN SECURITIES LLC
October 10, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
October 10, 2008 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
May 17, 2007 - August 15, 2008
AMERIPRISE FINANCIAL SERVICES, LLC
May 2, 2007 - August 15, 2008
AMERIPRISE FINANCIAL SERVICES, 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
(1/7/2020)
(1/8/2020)
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 | |
| BEITZEL, BRIAN | MANAGER, TREASURER, AND FINANCIAL PRINCIPAL | 6183770 |
| 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
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