Individual Firm
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Sarai Vazquez
Sarai Vazquez Chung, SARAI VAZQUEZ
CRD#: 6446183
IA
B
TRANSAMERICA RETIREMENT ADVISORS, LLCCRD#: 107319 Tampa, FL
TRANSAMERICA INVESTORS SECURITIES, LLCCRD#: 32205 Tampa, FL
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3/30/2017
Financial
Final
8/26/2015
Financial
Final
State Registrations
B
Alabama 8/15/2023
B
Montana 8/21/2023
B
Alaska 8/24/2023
B
Nebraska 8/11/2023
B
Arizona 8/23/2023
B
Nevada 8/17/2023
B
Arkansas 8/25/2023
B
New Hampshire 8/14/2023
B
California 8/11/2023
B
New Jersey 8/14/2023
B
Colorado 8/18/2023
B
New Mexico 8/15/2023
B
Connecticut 8/14/2023
B
New York 8/15/2023
B
Delaware 8/16/2023
B
North Carolina 8/16/2023
B
District of Columbia 8/15/2023
B
North Dakota 8/14/2023
B
Florida 8/14/2023
B
Ohio 8/11/2023
IA
Florida 11/14/2024
B
Oklahoma 8/14/2023
B
Georgia 8/16/2023
B
Oregon 8/15/2023
B
Hawaii 8/14/2023
B
Pennsylvania 8/14/2023
B
Idaho 8/11/2023
B
Puerto Rico 8/21/2023
B
Illinois 8/16/2023
B
Rhode Island 8/16/2023
B
Indiana 8/15/2023
B
South Carolina 8/16/2023
B
Iowa 8/15/2023
B
South Dakota 8/14/2023
B
Kansas 8/14/2023
B
Tennessee 8/14/2023
B
Kentucky 8/15/2023
B
Texas 8/11/2023
B
Louisiana 8/15/2023
B
Utah 8/15/2023
B
Maine 8/14/2023
B
Vermont 8/14/2023
B
Maryland 8/22/2023
B
Virginia 8/14/2023
B
Massachusetts 10/2/2023
B
Washington 8/17/2023
B
Michigan 8/15/2023
B
West Virginia 8/14/2023
B
Minnesota 8/15/2023
B
Wisconsin 8/14/2023
B
Mississippi 8/16/2023
B
Wyoming 8/14/2023
SRO Registrations
B
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IA
Registered with this firm since 11/14/2024
B
Registered with this firm since 8/11/2023
| th hidden text | th hidden text | Name | Location |
|---|---|---|---|
B | 06/18/2020 - 08/03/2023 | ST. PETERSBURG, FL | |
B | 05/08/2018 - 12/17/2018 | TAMPA, FL | |
B | 03/02/2017 - 10/03/2017 | ST. PETERSBURG, FL | |
B | 04/29/2015 - 12/31/2016 | ST. PETERSBURG, FL |
ST. PETERSBURG, FL
03/02/2017 - 10/03/2017
ST. PETERSBURG, FL
04/29/2015 - 12/31/2016
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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.
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