Christopher L. Frey
Professional summary
Christopher Lawrence Frey is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Denver, Colorado.
Christopher is registered as a RR (Registered Representative) and started their career in finance in 2011. Christopher has worked at 3 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Christopher Lawrence Frey's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 1, 2019 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 1801 California St. Suite 5200, Denver, CO 80202November 5, 2018 - July 1, 2019
TRANSAMERICA CAPITAL, LLC
June 29, 2011 - October 31, 2018
OPPENHEIMERFUNDS DISTRIBUTOR, INC.
State Registrations and Notice Filings
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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 |
Red Flags
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