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Information

Firm:
Type: Dual Registration
Description

Michael Vatter is a financial professional at Transamerica Financial Advisors, Inc., a broker-dealer with over 4,850 registered representatives nationwide. Michael has held an industry securities registration for 7 years and is subject to SEC and FINRA oversight.

BrightScope Advisor Metrics

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Michael Vatter has not answered any questions on Financial Q&A.

Top Guides

Michael Vatter has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
Transamerica Financial Advisors, Inc. 2 years, 10 months Jun 2011 - Present
Sws Financial Services, Inc. 1 year, 3 months May 2010 - Aug 2011
Bbva Compass Investment Solutions, Inc. 11 months Jun 2009 - May 2010
Guaranty Brokerage Services, Inc. 1 year, 1 month Apr 2008 - May 2009
Metlife Securities Inc. 3 months Dec 2007 - Mar 2008
Chase Investment Services Corp. 6 months May 2007 - Nov 2007
Merrill Lynch Pierce Fenner Smith 8 months Aug 2006 - Apr 2007
Pharo & Partners 1 year, 6 months Jan 2005 - Jul 2006
Deutsche Bank 10 years, 5 months Jul 1994 - Dec 2004
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 09/13/2013, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Registered
Disclosures

2 Customer Disputes

2 Customer Disputes

As of Date
09/13/2013
08/10/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Combined State Law Examination Series 66 12/11/2006
General Securities Representative Examination Series 7 10/30/2006

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees
  • Commissions