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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 |
|---|---|---|---|
| TX | RA | APPROVED_RES | 2021-05-24 |
| NY | RA | APPROVED | 2021-05-11 |
| NJ | RA | APPROVED | 2015-03-31 |
Branch Locations
5700 Tennyson Parkway Suite 300 Room 58, Plano, TX 75024 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Plano | TX | 03/2012 | Present |
| World Financial Group, Inc | Plano | TX | 03/2012 | Present |
| Globalfoundries | Malta | NY | 10/2015 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. GLOBALFOUNDRIES; 10/31/2015; NOT INV RELATED; 400 STONEBREAK ROAD EXTENSION, MALTA, NY 12020; SEMICONDUCTOR MANAUFACTURER; 0 HRS/MO; 0 TRADING, NA.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2015-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 2012-06-25 |
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