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Detailed Report
VICKI K SCHAPP
VICKI KAY SCHAPP, VICKI K SHUPERT, Vicki K Shupert
CRD#: 2461580
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 11421 CHESTER ROAD
CINCINNATI, OH 45246
Registration History
200020022004200620082010201220142016201820202022202420262 FIRMS2004 - 2006 (2 years)2 FIRMS2006 - 2011 (5 years)2 FIRMS2012 - 2014 (2 years)2 FIRMS2014 - 2016 (1 year)2 FIRMS2017 - Present (7 years)BSUMMIT BROKERAGE SERVICES, INC. (CRD# 34643)1999 - 2003 (4 years)
License(s)

State Registrations

IA
Ohio 9/21/2017
B
Ohio 9/25/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
11421 CHESTER ROAD, CINCINNATI, OH 45246
Registered with this firm since 9/21/2017
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
11421 CHESTER ROAD, CINCINNATI, OH 45246
Registered with this firm since 9/25/2017
Previous Registration(s)
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IA
 12/03/2014 - 06/13/2016 EAGLE STRATEGIES LLC (CRD#:110826) CINCINNATI, OH
B
 09/10/2014 - 06/13/2016 NYLIFE SECURITIES LLC (CRD#:5167) CINCINNATI, OH
IA
 03/21/2012 - 06/19/2014 PARK AVENUE SECURITIES LLC (CRD#:46173) MAINEVILLE, OH
B
 01/30/2012 - 06/19/2014 PARK AVENUE SECURITIES LLC (CRD#:46173) CINCINNATI, OH
IA
 11/14/2006 - 12/09/2011 MML INVESTORS SERVICES, LLC (CRD#:10409) CINCINNATI, OH
B
 11/13/2006 - 12/09/2011 MML INVESTORS SERVICES, LLC (CRD#:10409) CINCINNATI, OH
IA
 01/02/2004 - 11/01/2006 SPC (CRD#:110692) MAINEVILLE, OH
B
 01/02/2004 - 11/01/2006 SIGMA FINANCIAL CORPORATION (CRD#:14303) MAINEVILLE, OH
B
 10/19/1999 - 12/31/2003 SUMMIT BROKERAGE SERVICES, INC. (CRD#:34643) BOCA RATON, FL
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.