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Transamerica Financial Advisors, LLC CRD 16164
$2.11B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NJ | RA | APPROVED | 2024-07-31 |
| CT | RA | APPROVED | 2022-11-11 |
| NY | RA | APPROVED | 2022-10-26 |
Branch Locations
485 Madison Avenue Floor 7 Suite 746, New York, NY 10022 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| World Financial Group, Inc. | New York | NY | 11/2010 | 09/2022 |
| Transamerica Financial Advisors, Inc | New York | NY | 10/2022 | Present |
| World Financial Group, Inc. | New York | NY | 03/2011 | Present |
| Tulsi Llc Dba Liquor Outlet | Southington | CT | 08/2005 | Present |
| Amee Llc | Southington | CT | 08/2005 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. TULSI LLC DBA LIQUOR OUTLET/Investment Related - No/400 NORTH MAIN STREET SOUTHINGTON CT 06489/RETAIL LIQUOR STORE/MEMBER/08.2005/110/0/RETAIL MANAGER AMEE LLC/Investment Related - No/400 NORTH MAIN STREET SOUTHINGTON CT 06489/IT'S RENTAL REAL ESTATE STRIP MALL/MEMBER/08.2005/10/0/PROPERTY MAMAGER, COLLECTING THE RENTS, GENERAL MAINTETANCE amp; REPAIRS, UPKEEPING THE PLACE ETC
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2012-04-27 |
| S63 | Uniform Securities Agent State Law Examination | 2003-01-22 |
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