Stephen W. Porter
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.
Stephen Worth Porter was a registered financial advisor .
Stephen is a previously registered financial advisor and started their career in finance in 1977. Stephen had worked at 9 firms and has passed the Series 66, Series 63, Series 7 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 15, 2004 - November 9, 2009
TRANSAMERICA FINANCIAL ADVISORS, INC.
August 6, 2002 - May 12, 2004
AMERICAN GENERAL FINANCIAL ADVISORS, INC.
February 13, 2002 - May 6, 2004
VALIC FINANCIAL ADVISORS, INC.
December 28, 2001 - May 6, 2004
VALIC FINANCIAL ADVISORS, INC.
June 20, 2000 - December 14, 2001
LPL FINANCIAL LLC
August 27, 1997 - July 13, 2000
VALIC FINANCIAL ADVISORS, INC.
August 6, 1992 - July 13, 2000
THE VARIABLE ANNUITY MARKETING COMPANY
November 18, 1983 - March 30, 1992
METLIFE INVESTORS DISTRIBUTION COMPANY
January 16, 1982 - August 12, 1982
E. F. HUTTON & COMPANY INC
September 26, 1978 - January 21, 1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
April 1, 1977 - September 26, 1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
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, INC.
CRD#: 3600 / SEC#: , 8-13621
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRANSAMERICA INTERNATIONAL HOLDINGS, INC. | OWNER | |
| CHUANG, GEORGE CHUWANG | PRESIDENT, DIRECTOR | 3162477 |
| CHUANG, GEORGE CHUWANG | SENIOR VICE PRESIDENT & TREASURER | 3162477 |
| FLEWELLEN, JAMES MARTIN | DIRECTOR | 1574411 |
| GOK, LISA ANNE | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | 5059738 |
| KILBANE, KENNETH PATRICK | DIRECTOR | 3187382 |
| PERRY, KAREN BARNETT | VICE PRESIDENT | 3035933 |
| RIDER, KERRY KEARNS | SECRETARY | 2166195 |
| TATE, WILLIAM HARTWELL | DIRECTOR | 1761315 |
| TRIVERS, DAN SHANE | SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER | 1948553 |
Disclosures
| Regulatory Event | 1 |
| Arbitration | 2 |
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.
