Carmen B. Stapert
Professional summary
Carmen Beth Stapert, who also goes by Carmen Beth Frazier, Carmen Beth Griffin, Carmen Griffin, Carmen Beth Stapert, Carmen Stapert, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Equality, Alabama.
Carmen is registered as a RR (Registered Representative) and started their career in finance in 2009. Carmen has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Carmen Beth Stapert's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 8, 2025 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
January 3, 2022 - December 22, 2024
J.P. MORGAN SECURITIES LLC
March 3, 2009 - September 28, 2021
ONEAMERICA SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
(1/8/2025)
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 |
Red Flags
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