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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
SD RA APPROVED 2026-06-11
TX RA APPROVED 2026-06-10
  • SD RA
    APPROVED
    Since 2026-06-11
  • TX RA
    APPROVED
    Since 2026-06-10

Branch Locations

Faith, SD • United States

730 E Park Blvd Suite 104, Plano, TX 75074 • 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
None Alva OK 08/2014 12/2016
Ranching Faith SD 12/2016 Present
None Faith SD 01/2017 03/2017
Rcis Faith SD 03/2017 01/2021
Qbe Nau Country Faith SD 01/2021 10/2024
None Faith SD 11/2024 01/2025
Wfgia Plano TX 01/2025 Present
Transamerica Financial Advisors Plano TX 01/2026 Present
Wealthwave Plano TX 01/2025 Present
Netlaw Louisville KY 03/2026 Present
  • 08/2014 → 12/2016
    None
    Alva, OK
  • 12/2016 → Present
    Ranching
    Faith, SD
  • 01/2017 → 03/2017
    None
    Faith, SD
  • 03/2017 → 01/2021
    Rcis
    Faith, SD
  • 01/2021 → 10/2024
    Qbe Nau Country
    Faith, SD
  • 11/2024 → 01/2025
    None
    Faith, SD
  • 01/2025 → Present
    Wfgia
    Plano, TX
  • 01/2026 → Present
    Transamerica Financial Advisors
    Plano, TX
  • 01/2025 → Present
    Wealthwave
    Plano, TX
  • 03/2026 → Present
    Netlaw
    Louisville, KY
Other Businesses

Name: Ranching / Investment Related - No / Date: 12:2016 / Hrs (Month): 60 / Hrs (Day): 2 / Activity: Feeding cattle, fixing fence, accounting Sales of insurance and non-insurance products, part-time or full-time for companies affiliated with Transamerica Financial Advisors, LLC. World Financial Group Co-Brand (Non-Owner) is a co-brand that is used by agents affiliated with World Financial Group Insurance Agency an insurance agency affiliate of Transamerica Financial Advisors, LLC. NETLAW POSITION: Independent Contractor NATURE: online estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/02/2026 ADDRESS: 12910 Shelbyville Rd, Louisville KY 40243, United States DESCRIPTION: I will refer clients who need estate planning services that do not have an attorney. WEALTHWAVE POSITION: null NATURE: Marketing INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/22/2025 ADDRESS: , Plano TX , United States DESCRIPTION: WFG Co-Brand

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-06-03
S63 Uniform Securities Agent State Law Examination 2026-01-16
  • S65 Uniform Investment Adviser Law Examination
    2026-06-03
  • S63 Uniform Securities Agent State Law Examination
    2026-01-16

View on SEC IAPD

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