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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2026-03-03 |
| CA | RA | APPROVED_RES | 2026-02-13 |
Branch Locations
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.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wfgia | Irvine | CA | 08/2011 | Present |
| Rise, Inc. | Pasadena | CA | 12/2018 | Present |
| Transamerica Financial Advisors, Inc | Glendale | CA | 03/2022 | 03/2022 |
| Lspn Direct | Lindon | UT | 08/2021 | Present |
| Transamerica Financial Advisors, Inc | Glendale | CA | 06/2022 | 11/2022 |
| Transamerica Financial Advisors | Irvine | CA | 12/2025 | Present |
| Inheritguard | Sheridan | WY | 01/2025 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, LLC. 1) DebtNegotiators 2082 Michelson Drive | #100 | Irvine, CA Start date: 8/2011 Investment Related: NO Position: Referrer Debt settlement services - 1 hour per month, 0 hours during trading. 2) INHERITGUARD, LLC. 30 North Gould Street | Suite 41954 | Sheridan, WY 82801 Start date: 1/2025 Investment related: NO 1 hour per month, 0 hours during trading. Provide bundled professional services with emphasis on estate planning. 3) Rise, Inc. 1741 Star Crest Place | San Marcos, CA 92078 Start date: 12/2018 Investment related: NO Position: Secretary/CFO 1 hour per month, 0 hours during trading.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2026-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2025-12-19 |
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