Carol Ann Michalek

Carol Ann Michalek is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 149 W. YOKUTS AVE., SUITE B, STOCKTON, CA, 95207.

Carol Ann Michalek has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since September 09, 2016

Disclosure History

Carol Ann Michalek has 1 Disclosure Event(s).

Date: March 21, 2017
Category: Financial
Type: Bankruptcy
Disposition: Discharged

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for Carol Ann Michalek, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.