Donna CarricoCRD 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.
|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||5|
|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|
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
Total Assets Under Management4,493MILLIONS
Total Number of Accounts33,842ACCOUNTS
Average Account Value$132,767
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- 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
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