James Alexander Whittemore

Employer firm

Transamerica Retirement Advisors, LLC CRD 107319

$18.8B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Educational seminars

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

Current Employers

Transamerica Retirement Advisors, Llc

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

Current Registrations

Authority	Category	Status	Date
FL	RA	APPROVED	2017-07-20

FL RA
APPROVED

Since 2017-07-20

Branch Locations

Brooksville, FL • 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 Yes
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Transamerica Retirement Solutions	St. Petersburg	FL	08/2013	Present
Transamerica Investors Securities Corporation	St. Petersburg	FL	09/2013	Present

08/2013 → Present

Transamerica Retirement Solutions

St. Petersburg, FL
09/2013 → Present

Transamerica Investors Securities Corporation

St. Petersburg, FL

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2017-06-28
S63	Uniform Securities Agent State Law Examination	2013-08-07

S66 Uniform Combined State Law Examination

2017-06-28
S63 Uniform Securities Agent State Law Examination

2013-08-07

View on SEC IAPD