Richard Kenneth Swenson

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

Authority	Category	Status	Date
MN	RA	APPROVED	2015-07-02

MN RA
APPROVED

Since 2015-07-02

Branch Locations

Woodbury, MN • 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

Organization	City	State	From	To
Transamerica Retirement Solutions	St. Paul	MN	06/2015	Present
Transamerica Investors Securities Corporation	St. Paul	MN	06/2015	Present

06/2015 → Present

Transamerica Retirement Solutions

St. Paul, MN
06/2015 → Present

Transamerica Investors Securities Corporation

St. Paul, MN

Other Businesses

1)AMIGOS, LLC AND LVS LLC, 11222 86TH AVENUE N, MAPLE GROVE, MN, SHAREHOLDER MEMBER NOT INV-RELATED, START 4/2013, BUY HOUSES TO RENT TO COLLEGE STUDENTS, 1 HR/MO, 0 HRS TRADING TIME DUTIES INCLUDE PERFORMING BASIC MAINTENENCE ITEMS

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2015-07-02
S63	Uniform Securities Agent State Law Examination	1991-09-19

S66 Uniform Combined State Law Examination

2015-07-02
S63 Uniform Securities Agent State Law Examination

1991-09-19

Other Names

Dick Swenson

View on SEC IAPD