Transamerica Financial Advisors, Inc.
Cindy Scott has extensive experience in compliance and supervision within the financial services industry, currently serving as Team Lead for Supervision and Manager of Compliance at Transamerica Financial Advisors, Inc. since 2009. In this role, Cindy Scott provides expertise in compliance, risk mitigation, and process development, optimizing the firm's monitoring and surveillance, Anti-Money Laundering, and Cybersecurity functions while directly reporting to the Chief Compliance Officer. Prior to this, Cindy Scott held the position of Regional OSJ Manager at InterSecurities, Inc., where responsibilities included developing a new OSJ structure and overseeing operations for over 30 registered branches. Earlier experience as Compliance Supervisor at Intersecurities Inc. involved establishing the Monitoring & Surveillance Department and implementing regulatory reports. Cindy Scott holds a Bachelor of Arts degree in Business with an Emphasis in Finance from Eckerd College.
Transamerica Financial Advisors, Inc.
Vested in your success – 100 percent. With decades of experience, Transamerica Financial Advisors, Inc. is a full-service, fully licensed, independent Broker/Dealer and Registered Investment Advisor. Our business revolves around your success. We currently handle more than $10 Billion in customer assets, with over 3,300 Registered Representatives serving clients in branch offices nationwide. CORPORATE OVERVIEW For decades, Transamerica Financial Advisors, Inc. has provided clients with the resources of a large corporation and the personalized service of a small firm. Transamerica Financial Advisors' financial professionals have the freedom and flexibility to offer clients investment choices from some of the most familiar names in the industry. DISCLOSURES Securities and Investment Advisory Services offered through Transamerica Financial Advisors, Inc. (TFA), a broker/dealer - Member FINRA, SIPC, and Registered Investment Advisor. Transamerica Financial Advisors, Inc. financial professionals may only transact business in states where they are registered. Any individual communication trying to effect a transaction in securities or the rendering of personalized investment advice for compensation will not be made to persons in states where the financial professional is not registered. Securities and Investment Advisory Services offered through Transamerica Financial Advisors, Inc. (TFA), Member FINRA, SIPC, and Registered Investment Advisor http://www.finra.org/ http://www.sipc.org Neither Transamerica Financial Advisors, Inc. nor its representatives may provide tax or legal advice. Anyone to whom this material is promoted, marketed, or recommended should consult with and rely on their own independent tax and legal advisors regarding their particular situation and the concepts presented herein. 116116-0319