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RH

Ronald C. Harper

TRANSAMERICA INVESTORS SECURITIES
Equality, AL
Some features on this profile are disabled
CRD#: 7127827
RH

Professional summary

Ronald Coleman Harper 3RD, who also goes by Ronald Coleman Harper 3rd, Ronald Coleman Harper III, is a registered financial professional currently at TRANSAMERICA INVESTORS SECURITIES, LLC located in Equality, Alabama.

Ronald is registered as a RR (Registered Representative) and started their career in finance in 2019. Ronald has worked at 3 firms and has passed the Series 63, Series 7TO, SIE and Series 6TO exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ronald Coleman Harper 3rd | Ronald Coleman Harper Iii

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 Ronald Coleman Harper 3RD'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 4, 2024 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Equality, AL
Past

October 8, 2021 - August 23, 2024

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
COVINGTON, KY
Past

December 13, 2019 - June 30, 2021

T. ROWE PRICE INVESTMENT SERVICES, INC.

BD
CRD#: 8348
OWINGS MILLS, MD

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
Delaware
(9/9/2024)
RR
Florida
(9/5/2024)
RR
Maryland
(9/6/2024)
RR
Virginia
(9/9/2024)

Exams

State Security Law Exam
RR
Series 63
Date: 2/7/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/23/2020
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/13/2019
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6TO
Date: 10/23/2019
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)
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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
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#: 32205Equality, AL

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