Best Investors Account Sign in

Charles R Doughty

Transamerica Retirement Advisors, LLC

Tucson, AZ

CRD 6067549

Claim This Profile
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

AuthorityCategoryStatusDate
AZ RA APPROVED 2026-04-30
  • AZ RA
    APPROVED
    Since 2026-04-30

Branch Locations

Tucson, AZ • 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
Axa Advisors, Llc New York NY 03/2016 06/2020
Axa Syracuse NY 03/2016 06/2020
Equitable Advisors, Llc New York NY 03/2016 02/2021
Equitable Syracuse NY 03/2016 02/2021
Fidelity Investments Salt Lake City UT 02/2021 02/2026
Fidelity Investments Boston MA 03/2025 02/2026
Transamerica Life Insurance Company Tucson AZ 04/2026 Present
Transamerica Investors Securities, Llc Tucson AZ 04/2026 Present
Transamerica Retirement Advisors, Llc Tucson AZ 04/2026 Present
  • 03/2016 → 06/2020
    Axa Advisors, Llc
    New York, NY
  • 03/2016 → 06/2020
    Axa
    Syracuse, NY
  • 03/2016 → 02/2021
    Equitable Advisors, Llc
    New York, NY
  • 03/2016 → 02/2021
    Equitable
    Syracuse, NY
  • 02/2021 → 02/2026
    Fidelity Investments
    Salt Lake City, UT
  • 03/2025 → 02/2026
    Fidelity Investments
    Boston, MA
  • 04/2026 → Present
    Transamerica Life Insurance Company
    Tucson, AZ
  • 04/2026 → Present
    Transamerica Investors Securities, Llc
    Tucson, AZ
  • 04/2026 → Present
    Transamerica Retirement Advisors, Llc
    Tucson, AZ
Previous Registrations
  • 2025-03-31 → 2026-03-12
    Strategic Advisers Llc
    Murray, UT
    Salt Lake City, UT
    Boston, MA
  • 2022-09-06 → 2025-03-31
    Fidelity Personal And Workplace Advisors
    Salt Lake City, UT
  • 2016-09-02 → 2021-02-18
    Equitable Advisors, Llc
    Syracuse, NY
    Cottonwood Heights, UT
Other Businesses

OBA-117250|OrgNmn:Content Creator - Short Storys and Inspiration|Org Addr:Salt Lake ,Utah,US|OBA Nature:Doing faceless youtube creatio|Invst Rel:N|Title:Youtube Creator|Duties:None at my leisure|StrtDt:|TotHrs/mon:10|TrdHrs/mon:0|

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-05-12
S63 Uniform Securities Agent State Law Examination 2013-04-26
  • S65 Uniform Investment Adviser Law Examination
    2016-05-12
  • S63 Uniform Securities Agent State Law Examination
    2013-04-26
Other Names
  • Charles R Doughty
  • Charles Doughty

View on SEC IAPD

More in Tucson, AZ

Reviews
No reviews yet

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor