Due to various state regulations and registration requirements concerning the dissemination of information regarding investment and insurance products and services, access to this information must be limited to individuals residing in the following states:
California
A broker/dealer, investment advisory, BD agent or IA rep may only transact business in a particular state after licensure or satisfying qualifications requirements of that state or only if they are excluded or exempted from the state's broker/dealer, investment adviser, or BD agent or IA rep requirements, as the case may be: and follow-up, individualized responses to consumers in a particular state by broker/dealer, investment advisor, BD agent or IA rep that involve either the effecting or attempting to effect transactions in securities or the rendering of personalized investment advice for compensation, as the case may be, shall not be made without first complying with the state's broker/dealer, investment advisor, BD agent or IA rep requirements, or pursuant to an applicable state exemption or exclusion.
For information concerning the licensure status or disciplinary history of a broker/dealer, investment advisor, BD agent or IA rep, a consumer should contact his or her stated securities law administrator.
Securities and investment advisory services offered through Transamerica Financial Advisors, Inc. (TFA) Member FINRA.ORG, SIPC.ORG and Registered Investment Advisor. Non-security products and services or tax services are not offered through Transamerica Financial Advisors, Inc. Lentini Insurance & Investments, Inc. is not affiliated with TFA.
CA License #
LD35915-12/10
Copyright © 2010 Lentini Insurance & Investments, Inc. All rights reserved.
