RV
Reginald Vance
TRANSAMERICA INVESTORS SECURITIES
Trinity, FL
Some features on this profile are disabled
CRD#: 6297753
RV
Professional summary
Reginald Vance, who also goes by Reginald Lee Vance, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Trinity, Florida.
Reginald is registered as a RR (Registered Representative) and started their career in finance in 2014. Reginald has worked at 1 firm and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Reginald Lee Vance
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.
CRS (Client Relationship Summary) - BD
Click below to view Reginald Vance's 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®
NoneExperience
Current
February 27, 2020 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
Trinity, FL
Past
December 14, 2018 - February 4, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
ST. PETERSBURG, FL
Past
May 24, 2014 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
ST. PETERSBURG, FL
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
Alabama(9/27/2023)
RR
Alaska(9/27/2023)
RR
Arizona(9/27/2023)
RR
Arkansas(9/27/2023)
RR
California(9/27/2023)
RR
Colorado(9/27/2023)
RR
Connecticut(9/27/2023)
RR
Delaware(9/27/2023)
RR
District of Columbia(9/27/2023)
RR
Florida(2/27/2020)
RR
Georgia(2/27/2020)
RR
Hawaii(9/27/2023)
RR
Idaho(9/27/2023)
RR
Illinois(9/27/2023)
RR
Indiana(9/27/2023)
RR
Iowa(9/27/2023)
RR
Kansas(9/27/2023)
RR
Kentucky(9/27/2023)
RR
Louisiana(9/27/2023)
RR
Maine(9/27/2023)
RR
Maryland(9/27/2023)
RR
Massachusetts(9/27/2023)
RR
Michigan(9/27/2023)
RR
Minnesota(9/27/2023)
RR
Mississippi(9/27/2023)
RR
Missouri(9/27/2023)
RR
Montana(9/27/2023)
RR
Nebraska(9/27/2023)
RR
Nevada(9/27/2023)
RR
New Hampshire(9/27/2023)
RR
New Jersey(9/27/2023)
RR
New Mexico(9/27/2023)
RR
New York(9/27/2023)
RR
North Carolina(9/27/2023)
RR
North Dakota(9/27/2023)
RR
Ohio(9/28/2023)
RR
Oklahoma(9/27/2023)
RR
Oregon(9/27/2023)
RR
Pennsylvania(9/27/2023)
RR
Puerto Rico(9/27/2023)
RR
Rhode Island(9/27/2023)
RR
South Carolina(9/27/2023)
RR
South Dakota(9/27/2023)
RR
Tennessee(9/27/2023)
RR
Texas(9/27/2023)
RR
Utah(9/27/2023)
RR
Vermont(9/27/2023)
RR
Virginia(9/27/2023)
RR
Washington(9/27/2023)
RR
West Virginia(9/27/2023)
RR
Wisconsin(9/27/2023)
RR
Wyoming(9/27/2023)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See 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)
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
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.
