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Current Employers
Transamerica Financial Advisors, Llc

Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2024-01-02
GA RA APPROVED 2022-04-25
SC RA APPROVED 2022-04-20
  • NC RA
    APPROVED
    Since 2024-01-02
  • GA RA
    APPROVED
    Since 2022-04-25
  • SC RA
    APPROVED
    Since 2022-04-20

Branch Locations

3545 Whitehall Park Drive Suite 175, Charlotte, NC 28273 • 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
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
  • 11/2012 → 04/2022
    Avantax Investment Services, Inc.
    Mccormick, GA
  • 05/2017 → 04/2022
    Avantax Advisory Services
    Mccormick, SC
  • 04/2022 → Present
    Transamerica Financial Advisors, Inc
    Charlotte, NC
  • 06/2014 → Present
    Herdman Dukes Llc
    Lincolnton, GA
  • 01/2006 → Present
    Rental Property
    Lincolnton, GA
  • 09/2013 → 03/2022
    Avantax Insurance Agency Llc
    Dallas, TX
  • 03/2022 → Present
    Transamerica Agency Network
    Baltimore, MD
  • 03/2022 → Present
    United Financial Services
    Baltimore, MD
Previous Registrations
  • 2017-05-04 → 2022-04-07
    Avantax Advisory Services
    Mccormick, SC
Other Businesses

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

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2013-02-11
  • S63 Uniform Securities Agent State Law Examination
    2013-02-11
Designations
Other Names
  • Janet Elizabeth Dukes
  • Janet Herdman Dukes
  • Janet Elizabeth Herdman
  • Janet Elizabeth Herdman

View on SEC IAPD

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