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RD

Reece Dinauer

TRANSAMERICA INVESTORS SECURITIES
West Allis, WI
Some features on this profile are disabled
CRD#: 5904629
RD

Professional summary

Reece Dinauer, who also goes by Reece B Dinauer, Reece Benjamin Dinauer, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in West Allis, Wisconsin.

Reece is registered as a RR (Registered Representative) and started their career in finance in 2015. Reece has worked at 13 firms and has passed the Series 63, Series 7TO, SIE, Series 6, Series 24 and Series 26 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Reece B Dinauer | Reece Benjamin Dinauer

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 Reece Dinauer'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

September 2, 2022 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
West Allis, WI
Past

July 7, 2021 - June 7, 2022

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
Milwaukee, WI
Past

March 26, 2021 - May 18, 2021

MGI FUNDS DISTRIBUTORS, LLC

BD
CRD#: 35682
Milwaukee, WI
Past

February 24, 2021 - May 18, 2021

FUNDS DISTRIBUTOR, LLC

BD
CRD#: 7174
Milwaukee, WI
Past

February 24, 2021 - May 18, 2021

FORESIDE GLOBAL SERVICES, LLC

BD
CRD#: 147382
Milwaukee, WI
Past

December 4, 2020 - May 18, 2021

NORTHERN FUNDS DISTRIBUTORS, LLC

BD
CRD#: 45943
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

IMST DISTRIBUTORS, LLC

BD
CRD#: 130745
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

FORESIDE FUNDS DISTRIBUTORS LLC

BD
CRD#: 31334
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

FORESIDE FINANCIAL SERVICES, LLC

BD
CRD#: 148477
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

FORESIDE DISTRIBUTION SERVICES, L.P.

BD
CRD#: 15634
Milwaukee, WI
Past

June 9, 2020 - May 18, 2021

COMPASS DISTRIBUTORS, LLC

BD
CRD#: 172662
Milwaukee, WI
Past

September 19, 2019 - May 18, 2021

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
MILWAUKEE, WI
Past

July 22, 2015 - June 18, 2018

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
MILWAUKEE, WI

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
Wisconsin
(9/2/2022)

Exams

State Security Law Exam
RR
Series 63
Date: 1/21/2016
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 8/31/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 6/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 7/22/2015
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/5/2021
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/31/2016
Investment Company Products/Variable Contracts Principal 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#: 32205West Allis, WI

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