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Douglas Shepard Smith

Transamerica Retirement Advisors, LLC

Farmington Hills, MI

CRD 6143046

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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
MI RA APPROVED 2014-05-28
  • MI RA
    APPROVED
    Since 2014-05-28

Branch Locations

Farmington Hills, MI • 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
Diversified Farmington Hills MI 10/2012 Present
Diversified Investors Securities Corp. Farmington Hills MI 12/2012 Present
  • 10/2012 → Present
    Diversified
    Farmington Hills, MI
  • 12/2012 → Present
    Diversified Investors Securities Corp.
    Farmington Hills, MI
Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2014-05-27
S63 Uniform Securities Agent State Law Examination 2013-03-19
  • S65 Uniform Investment Adviser Law Examination
    2014-05-27
  • S63 Uniform Securities Agent State Law Examination
    2013-03-19

View on SEC IAPD

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