Donna Carrico, financial advisor Gardena CA
83 score

Donna Carrico

CRD Number: 5281321
Current Firm: Transamerica Financial Advisors, Inc.

Donna Carrico (CRD# 5281321) is an Investment Advisor Representative working at Transamerica Financial Advisors, Inc. in Gardena, CA and has over 9 years of experience in the finance industry.

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Company Name Location Dates Years
South Bay Center For Brain Health, Inc. Torrance, CA Apr 2016 - Current < 1
Millers Children's & Women's Long Beach, Jonathan Jacques Long Beach, CA Aug 2015 - Current 1
Bernhard Hoehle Insurance Agency Hermosa Beach, CA Oct 2013 - Current 3
Debtmerica Santa Ana, CA Oct 2013 - Current 3
Ambassador High School Torrance, CA Jun 2013 - Current 3
High Tower Insurance Company, Inc. Helena, MT Dec 2012 - Current 4
Transamerica Financial Advisors, Inc. Torrance, CA Jan 2012 - Current 4
Carrico Real Estate Holdings, LLC Redondo Beach, CA May 2008 - Current 8
World Financial Group Torrance, CA Oct 2006 - Current 10
One Accord Management Torrance, CA Jun 2004 - Current 12
Cmg & Associates Torrance, CA Jul 2011 - Feb 2016 4
Jack Schroeder And Associates, Inc. Green Bay, WI May 2012 - Oct 2014 2
Investment Advisors International, Inc. Torrance, CA Nov 2010 - Jan 2012 1
Wgs,inc Torrance, CA Feb 2007 - Jan 2012 4
Diligent Management Services Inc. Torrance, CA May 1997 - Nov 2011 14
Innergy Lending Riverside, CA Apr 2008 - Jun 2008 < 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 2007
S65 NASAA Investment Advisors Law Examination Aug 2010
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Donna J. Carrico
Phone Number: 727-299-1800
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    4,493
    MILLIONS
  • Total Number of Accounts
    33,842
    ACCOUNTS
  • Average Account Value
    $132,767
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
83

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