Articles Tagged with TransAmerica Financial Advisors

James BarnesPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 18, 2018 indicate that Arkansas-based TransAmerica Financial Advisors broker James Barnes is involved in a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Barnes (CRD# 2421490).

James Barnes has spent 20 years in the securities industry and has been registered with TransAmerica Financial Advisors in Mountain View, Arkansas since 2016. Previous registrations include SagePoint Financial in Mountain View, Arkansas (2014-2016); MetLife Securities in Franklin, Tennessee (2008-2014); ING Financial Partners in Mountain View, Arkansas (1997-2007); Washington Square Securities in Des Moines, Iowa (1995-1997); MetLife Securities in Springfield, Massachusetts (1995); and Metropolitan Life Insurance Company in New York, New York (1995). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on June 8, 1995; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on May 8, 1995. He is a registered broker with three US states: Alabama, Arkansas, and Texas.

According to his BrokerCheck report, he has received one pending customer complaint.

Brian BrandenburgPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on October 23, 2018 indicate that Ohio-based TransAmerica Financial Advisors broker/adviser Brian Brandenburg has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Brandenburg (CRD# 4667138).

Brian Brandenburg has spent 15 years in the securities industry and has been registered with TransAmerica Financial Advisors in Dayton, Ohio since 2012. He was previously registered with World Group Securities in Dayton, Ohio (2003-2012). He has passed three securities industry examinations: SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on July 14, 2003; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 21, 2007. He is a registered broker and investment adviser with one US state—Ohio—and one self-regulatory organization (SRO): FINRA.

According to his BrokerCheck report, he has received one pending customer complaint.