David Folkerson
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 Folkerson, who also goes by David Olaf Folkerson, was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1978. David had worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 1, Series 26 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
March 13, 2014 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 5, 2014 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
November 5, 2008 - September 16, 2013
EQUITRUST INVESTMENT MANAGEMENT SERVICES, INC.
May 19, 2005 - September 16, 2013
FBL MARKETING SERVICES, LLC
December 1, 1998 - September 1, 2004
OSAIC FA, INC.
November 19, 1989 - March 14, 1990
OSAIC WEALTH, INC.
October 13, 1988 - January 3, 1989
LINCOLN NATIONAL PENSION INSURANCE COMPANY
October 13, 1988 - September 1, 2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
October 13, 1988 - September 1, 2004
OSAIC FA, INC.
August 26, 1988 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
March 26, 1986 - October 13, 1988
ADVANTAGE CAPITAL CORPORATION
February 22, 1985 - March 31, 1986
FINANCIAL PLANNERS EQUITY CORPORATION
February 27, 1984 - October 5, 1984
EASTBROKERS NORTH AMERICA, INC.
March 22, 1978 - August 25, 1978
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
March 22, 1978 - August 25, 1978
MONY SECURITIES CORPORATION
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
Series 1
Date: 3/14/1978
Registered Representative ExaminationCurrent 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.
