Rebecca L. Barker
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Rebecca Lynn Barker, who also goes by Becky Barrett, Rebecca Barrett, Rebecca Barrett, Becky Zamorski, Rebecca Lynn Zamorski, Rebecca Lynn Zamorski, was a registered financial professional .
Rebecca is a previously registered financial professional and started their career in finance in 1980. Rebecca had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 4, 2016 - January 25, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 4, 2016 - January 25, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 21, 2014 - November 19, 2015
EQUITABLE ADVISORS, LLC
June 10, 2014 - November 19, 2015
EQUITABLE ADVISORS, LLC
May 2, 2007 - May 19, 2014
MSI FINANCIAL SERVICES, INC.
April 15, 2004 - October 12, 2005
BLAYLOCK & COMPANY, INC.
July 1, 1998 - April 15, 2004
COWEN AND COMPANY
April 30, 1997 - July 1, 1998
FINANCIAL SQUARE PARTNERS
January 19, 1980 - April 17, 1997
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
