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JOSH WILLIAM SCHWIETERMAN
CRD#: 5376028
IA
B
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 8153 GARNET DRIVE
DAYTON, OH 45458
DAYTON, OH 45458
0
Disclosures
17
Years of Experience
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State Registrations
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Colorado 2/8/2021
IA
North Carolina 8/21/2018
B
Florida 12/5/2014
B
North Carolina 3/22/2024
B
Georgia 4/10/2024
B
North Dakota 6/7/2018
B
Illinois 10/7/2020
B
Ohio 1/6/2012
B
Indiana 9/21/2020
IA
Ohio 1/6/2012
B
Kansas 10/19/2021
B
Pennsylvania 1/7/2014
B
Kentucky 9/14/2016
B
Texas 12/19/2018
B
Maine 2/8/2022
IA
Texas 12/27/2018
B
Massachusetts 6/4/2024
B
Utah 9/18/2020
B
New Jersey 7/2/2024
B
Virginia 1/27/2021
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New Jersey 7/3/2024
SRO Registrations
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IA
Registered with this firm since 1/6/2012
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Registered with this firm since 1/6/2012
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
IA | 03/11/2011 - 01/06/2012 | DAYTON, OH | |
B | 10/09/2007 - 01/06/2012 | DAYTON, OH |
DAYTON, OH
03/11/2011 - 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.