Michael Louis Rogers

Employer firm

Transamerica Retirement Advisors, LLC CRD 107319

$18.8B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Transamerica Retirement Advisors, Llc

6400 C Street Sw, Cedar Rapids, IA 52499 • United States

Current Registrations

Authority	Category	Status	Date
DE	RA	APPROVED	2025-01-07
MD	RA	APPROVED	2020-09-25

DE RA
APPROVED

Since 2025-01-07
MD RA
APPROVED

Since 2020-09-25

Branch Locations

Selbyville, DE • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Cuna Mutual Group	Waverly	IA	01/2016	09/2017
Cuna Brokerage Services, Inc.	Waverly	IA	01/2016	09/2017
M&T Securities	Baltimore	MD	09/2017	03/2019
The Prudential Insurance Company Of America	Hunt Valley	MD	03/2019	09/2020
Pruco Securities Llc	Hunt Valley	MD	03/2019	09/2020
Transamerica Life Insurance Company	Parkville	MD	09/2020	Present
Transamerica Investors Securities Corporation	Parkville	MD	09/2020	Present

01/2016 → 09/2017

Cuna Mutual Group

Waverly, IA
01/2016 → 09/2017

Cuna Brokerage Services, Inc.

Waverly, IA
09/2017 → 03/2019

M&T Securities

Baltimore, MD
03/2019 → 09/2020

The Prudential Insurance Company Of America

Hunt Valley, MD
03/2019 → 09/2020

Pruco Securities Llc

Hunt Valley, MD
09/2020 → Present

Transamerica Life Insurance Company

Parkville, MD
09/2020 → Present

Transamerica Investors Securities Corporation

Parkville, MD

Previous Registrations

2019-03-20 → 2020-09-23

Pruco Securities, Llc.

Hunt Valley, MD

North Bethesda, MD

Hunt Valley, MD

Owings Mills, MD
2017-10-19 → 2019-03-15

M&T Securities, Inc.

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Annapolis, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD

Baltimore, MD
2016-01-26 → 2017-10-02

Cuna Brokerage Services, Inc.

Hunt Valley, MD

Baltimore, MD
2007-05-29 → 2008-12-02

Commonwealth Financial Network

Andover, MA

Andover, MA
2007-04-23 → 2007-05-23

Osaic Fa, Inc.

Fitchburg, MA

Hartford, CT

Leominster, MA

Other Businesses

BAND MUSICIAN POSITION: Musician NATURE: Arts, Entertainment, and Recreation INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2014 ADDRESS: 9606 10th Ave, Parkville, MD 21234, United States DESCRIPTION: Play bass, guitar, and sing

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2016-01-19
S63	Uniform Securities Agent State Law Examination	2013-11-11
S66	Uniform Combined State Law Examination	2007-04-13

S65 Uniform Investment Adviser Law Examination

2016-01-19
S63 Uniform Securities Agent State Law Examination

2013-11-11
S66 Uniform Combined State Law Examination

2007-04-13

Other Names

Michael Louis Rogers
Michael Rogers
Mike Rogers

View on SEC IAPD