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JS

Jose L. Saenz-hernandez

TRANSAMERICA INVESTORS SECURITIES
LaGrange Park, IL
Some features on this profile are disabled
CRD#: 6139586
JS

Professional summary

Jose Luis Saenz-hernandez, who also goes by Jose Saenz-hernandez, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Lagrange Park, Illinois.

Jose is registered as a RR (Registered Representative) and started their career in finance in 2012. Jose has worked at 5 firms and has passed the Series 63, Series 7TO, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jose Saenz-Hernandez

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 Jose Luis Saenz-hernandez'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

May 22, 2025 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
LaGrange Park, IL
Past

September 15, 2023 - December 13, 2024

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

June 7, 2019 - December 31, 2020

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

April 14, 2016 - November 17, 2017

AMERICAN CENTURY INVESTMENT SERVICES INC.

BD
CRD#: 17437
KANSAS CITY, MO
Past

September 2, 2014 - April 1, 2016

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
OVERLAND PARK, KS
Past

December 5, 2012 - September 2, 2014

J.P. MORGAN INSTITUTIONAL INVESTMENTS INC.

BD
CRD#: 102920
OVERLAND PARK, KS

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
Missouri
(5/22/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 9/22/2023
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 9/11/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/17/2017
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/15/2015
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 12/4/2012
Investment Company Products/Variable Contracts 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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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
BEITZEL, BRIANMANAGER, TREASURER, AND FINANCIAL PRINCIPAL6183770
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#: 32205Lagrange Park, IL

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