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Detailed Report
Sergio I Xula
CRD#: 4919754
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 ONE TRANS AM PLAZA
OAKBROOK TERRACE, IL 60181
Registration History
20062008201020122014201620182020202220242026IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2018 - Present (7 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2016 - Present (8 years)BCHASE INVESTMENT SERVICES CORP. (CRD# 25574)2005 - 2007 (2 years)BBANC ONE SECURITIES CORPORATION (CRD# 16999)2005 - 2005 (<1 year)
License(s)

State Registrations

B
Illinois 9/7/2016
IA
Illinois 2/21/2018

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)
ONE TRANS AM PLAZA, OAKBROOK TERRACE, IL 60181
Registered with this firm since 2/21/2018
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
ONE TRANS AM PLAZA, OAKBROOK TERRACE, IL 60181
Registered with this firm since 8/29/2016
Previous Registration(s)
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B
 07/06/2005 - 09/25/2007 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) WARRENVILLE, IL
B
 03/10/2005 - 07/06/2005 BANC ONE SECURITIES CORPORATION (CRD#:16999) CHICAGO, IL
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.