Articles Tagged with Transamerica Financial Advisors

Robert Perta

Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on March 22, 2018 indicate that Illinois-based Transamerica Financial Advisors broker Robert Perta has received a pending customer dispute. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Perta (CRD# 1688568).

Robert Perta has spent 27 years in the securities industry and has been registered with Transamerica Financial Advisors in Oak Brook, Illinois since 2012. Previous registrations include World Group Securities in Wheaton, Illinois (2007-2012); ING Financial Partners in St. Charles, Illinois (2004-2007); Locust Street Securities in Des Moines, Iowa (2003-2004); Walnut Street Securities in El Segundo, California (2001-2003); WMA Securities in Duluth, Georgia (1995-2001); Allmerica Investments in Worcester, Massachusetts (1993-1994); First Investors Corporation in New York, New York (1992-1993); and Hochman & Baker Securities in Stamford, Connecticut (1988-1992). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on February 10, 1992; Series 6 (Investment Company Products/Variable Contracts Representative Examination), which he obtained on December 16, 1988; and Series 26 (Investment Company Products/Variable Contracts Principal Examination), which he obtained on December 17, 1998. He is a registered broker and investment adviser with two US states: Colorado and Illinois.

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

Roy GaytanPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on June 27, 2017 indicate that former California-based TransAmerica Financial Advisors broker Roy Gaytan was terminated from his former employer in connection to alleged rule violations and is currently not affiliated with any broker-dealer firm. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Gaytan (CRD# 5498239).

Roy Gaytan has spent nine years in the securities industry and was most recently registered with TransAmerica Financial Advisors in Thousand Oaks, California (2012-2017). He was previously registered with World Group Securities in Agoura Hills, California (2008-2012). He has passed three securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination); Series 6 (Investment Company Products/Variable Contracts Representative Examination); and Series 26 (Investment Company Products/Variable Contracts Principal Examination). He is currently not registered with any state or firm.

According to his BrokerCheck report, Roy Gaytan was recently discharged from his former employer.

William Byrd

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 18, 2017 indicate that Florida-based Capital Financial Services broker/adviser William Byrd has been the subject of resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Byrd (CRD# 1334634).

William Byrd has spent 31 years in the securities industry and has been registered with Capital Financial Services in Tampa, Florida since September 2016. Previous registrations include Invest Financial Corporation in Tampa, Florida; TransAmerica Financial Advisors in Tampa, Florida; Pruco Securities Corporation in Newark, New Jersey; Merrill Lynch Pierce Fenner & Smith in New York, New York; American Express Financial Advisors in Minneapolis, Minnesota; IDS Life Insurance Company in Minneapolis, Minnesota; Cigna Securities; and Security First Financial. He is a registered broker and investment adviser with the state of Florida.

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