David C. Eccles
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.
David Campbell Eccles was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1977. David had worked at 13 firms and has passed the Series 63, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2012 - February 15, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 10, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
May 2, 2009 - August 24, 2009
CHASE INVESTMENT SERVICES CORP.
May 2, 2009 - August 24, 2009
CHASE INVESTMENT SERVICES CORP.
January 30, 2006 - May 2, 2009
WAMU INVESTMENTS, INC.
September 30, 1998 - January 1, 1999
GRIFFIN FINANCIAL SERVICES
October 2, 1997 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
July 14, 1997 - May 2, 2009
WAMU INVESTMENTS, INC.
May 24, 1991 - July 14, 1997
ASB FINANCIAL SERVICES
December 3, 1990 - June 14, 1991
FSC SECURITIES CORPORATION
May 28, 1985 - December 6, 1990
CETERA WEALTH SERVICES, LLC
June 19, 1983 - June 7, 1985
AETNA LIFE INSURANCE AND ANNUITY COMPANY
August 25, 1981 - June 3, 1985
RICHARDS INVESTMENTS
April 8, 1980 - August 25, 1981
INDEPENDENT FINANCIAL PLANNERS CORPORATION
July 26, 1977 - April 2, 1979
A. G. EDWARDS & SONS, INC.
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.
