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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
IA RA APPROVED 2026-05-20
VA RA APPROVED 2026-05-20
  • IA RA
    APPROVED
    Since 2026-05-20
  • VA RA
    APPROVED
    Since 2026-05-20

Branch Locations

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

Ashburn, VA • 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
Td Ameritrade Bellevue NE 09/2007 02/2021
Wfgia Cedar Rapids IA 05/2026 Present
Transamerica Financial Advisors Cedar Rapids IA 05/2026 Present
Wells Fargo Clearing Services Summit NJ 02/2021 03/2021
Wells Fargo Clearing Services Summit NJ 03/2021 10/2021
Morgan Stanley Ashburn VA 10/2021 10/2024
Secretariat Advisors Inc. Washington, Dc DC 10/2024 08/2025
Unemployed Ashburn VA 08/2025 12/2025
Stout Risius Ross, Llc Washington, Dc DC 12/2025 05/2026
  • 09/2007 → 02/2021
    Td Ameritrade
    Bellevue, NE
  • 05/2026 → Present
    Wfgia
    Cedar Rapids, IA
  • 05/2026 → Present
    Transamerica Financial Advisors
    Cedar Rapids, IA
  • 02/2021 → 03/2021
    Wells Fargo Clearing Services
    Summit, NJ
  • 03/2021 → 10/2021
    Wells Fargo Clearing Services
    Summit, NJ
  • 10/2021 → 10/2024
    Ashburn, VA
  • 10/2024 → 08/2025
    Secretariat Advisors Inc.
    Washington, Dc, DC
  • 08/2025 → 12/2025
    Unemployed
    Ashburn, VA
  • 12/2025 → 05/2026
    Stout Risius Ross, Llc
    Washington, Dc, DC
Previous Registrations
  • 2021-10-25 → 2024-10-29
    Purchase, NY
    Baltimore, MD
    Ashburn, VA
  • 2021-04-08 → 2021-10-14
    Summit, NJ
    St. Louis, MO
  • 2015-04-14 → 2021-02-23
    Td Ameritrade, Inc.
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Omaha, NE
    Columbia, MD
    Columbia, MD
Other Businesses

Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors (TFA).

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-04-13
S63 Uniform Securities Agent State Law Examination 2008-04-09
  • S66 Uniform Combined State Law Examination
    2015-04-13
  • S63 Uniform Securities Agent State Law Examination
    2008-04-09
Other Names
  • Ryan Patrick Murphy

View on SEC IAPD

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