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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 | 2024-01-02 |
| GA | RA | APPROVED | 2022-04-25 |
| SC | RA | APPROVED | 2022-04-20 |
Branch Locations
3545 Whitehall Park Drive Suite 175, Charlotte, NC 28273 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Avantax Investment Services, Inc. | Mccormick | GA | 11/2012 | 04/2022 |
| Avantax Advisory Services | Mccormick | SC | 05/2017 | 04/2022 |
| Transamerica Financial Advisors, Inc | Charlotte | NC | 04/2022 | Present |
| Herdman Dukes Llc | Lincolnton | GA | 06/2014 | Present |
| Rental Property | Lincolnton | GA | 01/2006 | Present |
| Avantax Insurance Agency Llc | Dallas | TX | 09/2013 | 03/2022 |
| Transamerica Agency Network | Baltimore | MD | 03/2022 | Present |
| United Financial Services | Baltimore | MD | 03/2022 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. HERDMAN DUKES LLC/Investment Related - No/2320 Iveytown Rd., Lincolnton, GA 30817/to Report income on S Corp/Owner/06.2014/1/0/file tax return RENTAL PROPERTY/Investment Related - No/2295 Iveytown Rd., Lincolnton, GA 30817/Owner of Real Estate Rental Property/Owner/01.2006/1/0/Home maintenance TRANSAMERICA AGENCY NETWORK/Investment Related - Yes/100 Light Street, Floor B1, Baltimore, MD 21202/Sales and Service of Insurance Products/Insurance Agent /03.2022/100/90/Sales and Service of Insurance Products UNITED FINANCIAL SERVICES/Investment Related - No/100 Light Street, Floor B1, Baltimore, MD 21202/UFS is Insurance; TFA is Securities/Affiliated Associate/03.2022/20/15/UFS is Insurance; TFA is Securities
| Code | Exam | Date |
|---|---|---|
| S63 | Uniform Securities Agent State Law Examination | 2013-02-11 |
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