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Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

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

Current Employers
Transamerica Financial Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NJ RA APPROVED 2017-08-22
CA RA APPROVED 2017-08-16
  • NJ RA
    APPROVED
    Since 2017-08-22
  • CA RA
    APPROVED
    Since 2017-08-16

Branch Locations

3435 Wilshire Blvd Suite 320, Los Angeles, CA 90010 • 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
OrganizationCityStateFromTo
Transamerica Financial Advisors, Llc Los Angeles CA 05/2017 Present
Wfgia Los Angeles CA 08/2003 Present
Two Fish Group Flushing NY 01/2015 Present
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, LLC TWO FISH GROUP/Investment Related - No/193-02 northern blvd, 2nd floor, #A, flushing, ny 11358 310)999-8496/basically it is created to lease an office, nothing special activities./instructor/01.2015/30/0/giving a basic financial101 education.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-08-16
S63 Uniform Securities Agent State Law Examination 2017-06-10
  • S65 Uniform Investment Adviser Law Examination
    2017-08-16
  • S63 Uniform Securities Agent State Law Examination
    2017-06-10

View on SEC IAPD

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