Michael K. Czerny
Professional summary
Michael Kipland Czerny was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Michael Kipland Czerny, who also goes by Michael Czerny, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1978. Michael had worked at 7 firms and has passed the Series 63, Series 7, Series 62 and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 15, 2003 - September 20, 2007
TRANSAMERICA FINANCIAL ADVISORS, INC.
November 16, 2001 - July 8, 2003
M HOLDINGS SECURITIES, INC.
February 18, 2000 - November 27, 2001
VESTAX SECURITIES CORPORATION
June 1, 1998 - January 6, 2000
OSAIC FA, INC.
March 4, 1985 - June 1, 1998
LINCOLN FINANCIAL DISTRIBUTORS, INC.
April 26, 1984 - March 1, 1985
OSAIC FS, INC.
May 23, 1978 - April 16, 1984
SUN LIFE FINANCIAL DISTRIBUTORS, 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
Series 62
Date: 1/4/1989
Corporate Securities Limited Representative ExaminationSeries 1
Date: 5/15/1978
Registered Representative ExaminationCurrent 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
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