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Roberto Pflaumer

Transamerica Financial Advisors, LLC

Cary, NC

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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 2022-12-01
TX RA APPROVED 2015-12-11
  • NC RA
    APPROVED
    Since 2022-12-01
  • TX RA
    APPROVED
    Since 2015-12-11

Branch Locations

1155 Kildaire Farm Road Suite 213, Cary, NC 27511 • 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
Transamerica Financial Advisors, Inc Cary NC 12/2015 Present
Wfgia Cary NC 08/2015 Present
Entrust Katy TX 03/2009 01/2024
Wealthwave Johns Creek GA 07/2017 Present
  • 12/2015 → Present
    Transamerica Financial Advisors, Inc
    Cary, NC
  • 08/2015 → Present
    Wfgia
    Cary, NC
  • 03/2009 → 01/2024
    Entrust
    Katy, TX
  • 07/2017 → Present
    Wealthwave
    Johns Creek, GA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc

Exams
CodeExamDate
S63 Uniform Securities Agent State Law Examination 2015-11-05
S65 Uniform Investment Adviser Law Examination 2015-10-06
  • S63 Uniform Securities Agent State Law Examination
    2015-11-05
  • S65 Uniform Investment Adviser Law Examination
    2015-10-06

View on SEC IAPD

Other Firms

VERATIS ADVISORS, INC.
RFG ADVISORY, LLC
EDWARD JONES
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
TRUIST ADVISORY SERVICES, INC.
COMPERIO RETIREMENT CONSULTING, INC.
WEALTHSHIELD PARTNERS, LLC
BRODIE WEALTH MANAGEMENT

Other Investors

STEPHEN DREW SIMPSON
LIAM BRIAN JOHNSON
DEREK THOMPSON WILLIAMS
JASON WILLIAM CARTER
Kashif Osman
Ibraheem Wael Ahmad Amin
Robert Sidney Larson
Karena Lyn Bagwell

Other Offices

VERATIS ADVISORS, INC. · CARY, NC
RFG ADVISORY, LLC · Cary, NC
EDWARD JONES · CARY, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Cary, NC
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Cary, NC
TRUIST ADVISORY SERVICES, INC. · CARY, NC
COMPERIO RETIREMENT CONSULTING, INC. · CARY, NC
WEALTHSHIELD PARTNERS, LLC · CARY, NC

More in Cary, NC

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