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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| TX | RA | APPROVED | 2026-06-25 |
| NJ | RA | APPROVED | 2026-05-28 |
| CA | RA | APPROVED | 2025-11-19 |
Branch Locations
11830 Sebastian Way Ste 104, Rancho Cucamonga, CA 91730 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors | Ontario | CA | 09/2023 | Present |
| Wfgia | Ontario | CA | 12/2011 | Present |
| Barons Enterprises International, Inc. | Ontario | CA | 09/2011 | Present |
| Wealthwave | Ontario | CA | 06/2024 | Present |
| Inheritguard, Llc | Sheridan | WY | 11/2024 | Present |
| Black Excellence Leadership Council | Cedar Rapids | IA | 11/2024 | Present |
Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors (TFA). WEALTHWAVE \ POSITION: NA NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 06/10/2024 ADDRESS: 3602 Inland Empire Blvd, C-160, Ontario CA 91764, \ DESCRIPTION: WFG Co-Brand BARONS ENTERPRISES INTERNATIONAL, INC. \ POSITION: CFO NATURE: Owner INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/13/2011 ADDRESS: 3602 Inland Empire Blvd, C-160, Ontario CA 91764, \ DESCRIPTION: Pass-Through entity to help run our WFG / TFA Business INHERITGUARD, LLC POSITION: NONE NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2024 ADDRESS: 30 N Gould Street, STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS. BLACK EXCELLENCE LEADERSHIP COUNCIL POSITION: Council Member NATURE: Leadership INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 11/15/2024 ADDRESS: 6400 C Street SW, Cedar Rapids IA 52499, United States DESCRIPTION: Mentor members and help run events and meetings.
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2025-11-19 |
| S63 | Uniform Securities Agent State Law Examination | 2023-11-16 |
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