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Brian Neil Schiavo

Transamerica Financial Advisors, LLC

Allentown, PA

CRD 6650063

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Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Transamerica Financial Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
PA RA APPROVED 2022-02-09
  • PA RA
    APPROVED
    Since 2022-02-09

Branch Locations

7540 Windsor Dr Suite 109, Allentown, PA 18195 • United States

Disclosures

3 disclosure categories reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

  • Regulatory action No
  • Criminal No
  • Bankruptcy Yes
  • Civil judicial No
  • Bond No
  • Judgment / lien Yes
  • Investigation No
  • Customer complaint Yes
  • Termination No
Employment History
OrganizationCityStateFromTo
Pruco Securities, Llc Wyomissing PA 03/2016 05/2020
The Prudential Insurance Company Of America Wyomissing PA 07/2016 05/2020
Transamerica Agency Network Cedar Repids IA 05/2020 Present
United Financial Services Baltimore MD 05/2020 Present
Transamerica Financial Advisors, Inc Allentown PA 02/2022 Present
  • 03/2016 → 05/2020
    Wyomissing, PA
  • 07/2016 → 05/2020
    The Prudential Insurance Company Of America
    Wyomissing, PA
  • 05/2020 → Present
    Transamerica Agency Network
    Cedar Repids, IA
  • 05/2020 → Present
    United Financial Services
    Baltimore, MD
  • 02/2022 → Present
    Transamerica Financial Advisors, Inc
    Allentown, PA
Previous Registrations
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc TRANSAMERICA AGENCY NETWORK/INVESTMENT RELATED - YES/ 433 EDGEWOOD RD NE CEDAR RAPIDS IA 52404, SALES OF LIFE INSURANCE AND FIXED INEDX ANNUITIS/ASSOCIATE DIRECTOR/05.2020/160/20/RECRUIT TRAIN AND RETAIN REPS FOR TRANSAMERICA AGENCY NETWORK UNITED FINANCIAL SERVICES/NO/100 LIGHT STREET BALTIMORE, MD 21202/INVOLVED WITH FINANCIAL SERVICES AND IS ASSOCIATED WITH TRANSAMERICA AGENCY NETWORK AS TAN LEVEL ASOCIATE DIRECTOR/05/2020/0/0/FIXED INSURANCE BUSINESS OUTSIDE OF TRANSAMERICA AS A PRODUCER

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-02-10
S63 Uniform Securities Agent State Law Examination 2016-06-23
  • S65 Uniform Investment Adviser Law Examination
    2017-02-10
  • S63 Uniform Securities Agent State Law Examination
    2016-06-23

View on SEC IAPD

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