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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
TX RA APPROVED 2014-10-17
  • TX RA
    APPROVED
    Since 2014-10-17

Branch Locations

10700 Richmond Avenue Suite 107, Houston, TX 77042 • 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
Benefit Mall Houston TX 10/2007 Present
Transamerica Financial Advisors, Inc Houston TX 01/2012 Present
United Healthcare Minneapolis MN 08/2012 Present
Top One Mortgage Llc Houston TX 06/2014 Present
  • 10/2007 → Present
    Benefit Mall
    Houston, TX
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Houston, TX
  • 08/2012 → Present
    United Healthcare
    Minneapolis, MN
  • 06/2014 → Present
    Top One Mortgage Llc
    Houston, TX
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. TOP ONE MORTGAGE LLC; NOT INVESTMENT RELATED; 7001 CORPORATE DR, STE 100A, HOUSTON TX 77036; RESIDENTIAL LOAN APPLICATION; LOAN OFFICER; 6/2014; 96 HRS/MONTH; LOAN ORIGINATION BENEFIT MALL/no/Houston,TX/CONTRACTOR-10/2007/ health insurance 5/0/ provide a gateway for health insurance (no for securities) approved with restrictions United HealthCare Insurance Company/no/P.O. Box 1459 Minneapolis,MN 55440/Agent 08-2012/Provide Medicare Advantage and Medicare Supplement and Health Insurance/

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2007-11-28
  • S63 Uniform Securities Agent State Law Examination
    2007-11-28
Designations
  • Certified Financial Planner

View on SEC IAPD

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