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Current Employers
Transamerica Financial Advisors, Llc

Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-11-26
TX RA APPROVED_RES 2024-07-08
GA RA APPROVED 2012-01-06
  • NC RA
    APPROVED
    Since 2024-11-26
  • TX RA
    APPROVED_RES
    Since 2024-07-08
  • GA RA
    APPROVED
    Since 2012-01-06

Branch Locations

190 Bluegrass Valley Pkwy., Alpharetta, GA 30005 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Wfgia Duluth GA 06/2001 Present
Perez Bakers & Assoc Duluth GA 10/2010 04/2017
Transamerica Financial Advisors, Inc Johns Creek GA 01/2012 Present
Assurant Health Milwaukee WI 11/2013 03/2017
Netlaw Louisville KY 11/2019 Present
Mpowering America Henderson NV 08/2021 02/2022
Wealthwave Johnscreek GA 01/2016 Present
Elleon Consulting Llc Suwanee GA 03/2017 Present
  • 06/2001 → Present
    Wfgia
    Duluth, GA
  • 10/2010 → 04/2017
    Perez Bakers & Assoc
    Duluth, GA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Johns Creek, GA
  • 11/2013 → 03/2017
    Assurant Health
    Milwaukee, WI
  • 11/2019 → Present
    Netlaw
    Louisville, KY
  • 08/2021 → 02/2022
    Mpowering America
    Henderson, NV
  • 01/2016 → Present
    Wealthwave
    Johnscreek, GA
  • 03/2017 → Present
    Elleon Consulting Llc
    Suwanee, GA
Previous Registrations
  • 2006-10-11 → 2012-01-06
    Investment Advisors International, Inc.
    Duluth, GA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Wealthwave | 01/2016 | investment related | marketing | Johns Creek, GA | approved Co-brand company through WFGIA | SMD NETLAW /1119 TO PRESENT/ INVESTMENT RELATED: NO /12910 SHELBYVILLE RD #124 LOUISVILLE, KY 40243 / REFERRAL AGENT / WILLS & TRUST / hrs work monthly: 2/Sec trading hrs: 1/ duties: CLIENT NEEDS-BASED OPERATION. IT MAY NOT BE A DAILY ACTIVITY ELLEON CONSULTING LLC \ POSITION: President NATURE: Entity Ownership INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2017 ADDRESS: 809 Scales Rd, Suwanee GA 30024 \ DESCRIPTION: I don't have any other business activities or responsibilities through Elleon Consulting LLC. other than being an Insurance business (WFG), Securities business (TFA) as my daily activities.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2006-09-05
S63 Uniform Securities Agent State Law Examination 1999-11-18
  • S65 Uniform Investment Adviser Law Examination
    2006-09-05
  • S63 Uniform Securities Agent State Law Examination
    1999-11-18
Other Names
  • Noelle Kim Schmitz
  • Noelle Kim Schmitz

View on SEC IAPD

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