Individual Firm
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CHRISTINA N. GUEVARA
CHRISTINA N. ATS, CHRISTINA GUEVARA
CRD#: 4581817
IA
B
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 2591 DALLAS PKWY SUITE 300
Office 50
Frisco, TX 75034
Office 50
Frisco, TX 75034
View By:
2/25/2011
Customer Dispute
Denied
State Registrations
B
California 1/6/2012
B
Texas 7/12/2022
IA
California 1/6/2012
IA
Texas 7/13/2022
SRO Registrations
B
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IA
Registered with this firm since 1/6/2012
B
Registered with this firm since 1/6/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/13/2009 - 01/06/2012 | TORRANCE, CA | |
B | 02/13/2004 - 01/06/2012 | TORRANCE, CA |
TORRANCE, CA
03/13/2009 - 01/06/2012
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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 can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.