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RP

Richard M. Pence

TRANSAMERICA INVESTORS SECURITIES
Harrison, NY 10528
Some features on this profile are disabled
CRD#: 5728035
RP

Professional summary

Richard Martin Pence, who also goes by Richard Martin Pence III, Richard Martin Pence, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Richard is registered as a RR (Registered Representative) and started their career in finance in 2009. Richard has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Richard Martin Pence Iii | Richard Martin Pence

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 Richard Martin Pence'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

July 1, 2019 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

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

April 25, 2018 - July 1, 2019

TRANSAMERICA CAPITAL, LLC

BD
CRD#: 8217
DENVER, CO
Past

September 5, 2014 - April 10, 2018

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Mt. Pleasant, SC
Past

November 27, 2012 - April 10, 2018

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

January 4, 2011 - March 19, 2012

MORGAN KEEGAN & COMPANY, LLC

RIA
CRD#: 4161
CHARLESTON, SC
Past

December 22, 2010 - March 19, 2012

MORGAN KEEGAN & COMPANY, LLC

BD
CRD#: 4161
CHARLESTON, SC
Past

January 11, 2010 - January 5, 2011

MORGAN STANLEY

RIA
CRD#: 149777
COLUMBIA, SC
Past

December 11, 2009 - January 5, 2011

MORGAN STANLEY

BD
CRD#: 149777
COLUMBIA, SC

State Registrations and Notice Filings

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

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
South Carolina
(7/1/2019)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/8/2010
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: 12/10/2009
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)

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#: 32205Harrison, NY 10528

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