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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| IN | RA | APPROVED | 2020-08-18 |
| IL | RA | APPROVED | 2018-03-23 |
Branch Locations
One Trans Am Plaza, Oakbrook Terrace, IL 60181 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Inc | Oakbrook Terrace | IL | 03/2016 | Present |
| Wfgia | Oakbrook Terrace | IL | 08/2013 | Present |
| C.W. Moore Enterprises, Inc. | Chicago | IL | 06/2009 | 09/2023 |
| Chicago Public Schools | Chicago | IL | 12/2016 | 09/2023 |
| Heartland Institute Of Financial Education | Greenwood Village | CO | 05/2014 | Present |
| Net Law Inc. | Louisville | KY | 02/2019 | 04/2025 |
| Native American Financial Literacy Services, Llc | Chicago | IL | 02/2019 | Present |
| American Indian Center Of Chicago | Chicago | IL | 02/2019 | 03/2026 |
| Chicago Women In Trades | Chicago | IL | 01/2020 | Present |
| College Loan Freedom | Henderson | NV | 09/2021 | 04/2025 |
| Lspn Pro, Llc | Lindon | UT | 04/2022 | 04/2025 |
| Professional Notary Services, Llc | Fort Wayne | IN | 12/2022 | Present |
| Cwm Enterprises Llc | Highland | IN | 12/2023 | Present |
| Wealthwave | Alpharetta | GA | 04/2025 | Present |
| Inheritguard Llc | Sheridan | WY | 04/2025 | Present |
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Wealthwave | marketing | investment related | co-brand company through WFGIA | 04/2025 | Alpharetta, GA Native American Financial Literacy Services, LLC / emp dates: 0219 TO PRESENT/ INVESTMENT RELATED: NO /address: 10024 S MORGAN ST CHICAGO, IL 60643 / position: FOUNDER/ nature of business: CONDUCT FINANCIAL LITERACY WORKSHOPS/hrs work monthly: 20/Sec trading hrs: 0/ duties: MARKETING TO NATIVE AMERICAN TRIBAL ENTITIES AND ORGANIZATIONS, CONDUCT WORKSHOPS CHICAGO WOMEN IN TRADES/ emp dates: 0120 TO PRESENT/ INVESTMENT RELATED: NO /address: 2444 W 16TH SUITE 3E CHICAGO, IL 60608 / position: BOARD MEMBER/ nature of business: TECHNICAL TRAINING PROGRAMS /hrs work monthly: 2/Sec trading hrs: 0/ duties: ATTEND BI-MONTHLY BOARD MEETINGS FOR 2-3 HOURS EACH TIME PROFESSIONAL NOTARY SERVICES, LLC POSITION: Member NATURE: notary services INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 4 START DATE: 12/01/2022 ADDRESS: 9445 Indianapolis Blvd, #1222, Highland IN 46322, United States DESCRIPTION: I am starting this company to offer professional notary services within the State of Indiana. I also plan to be commissioned to offer online remote notary services as well. CWM ENTERPRISES LLC POSITION: owner NATURE: tax preparation INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 3 START DATE: 12/25/2023 ADDRESS: 9445 Indianapolis Boulevard, #1222, Highland IN 46322, United States DESCRIPTION: Will complete tax returns for individuals and small businesses. INHERITGUARD LLC POSITION: None NATURE: providing bundled professional services with emphasis on estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 04/15/2025 ADDRESS: 30 N Gould Street, Ste 41954, Sheridan WY 82801, United States DESCRIPTION: client communications, follow up with client issues, provide education on estate planning issues, schedule appointments. Professional Notary Services, LLC / POSITION: Member NATURE: notary services INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 8 START DATE: 12/01/2022 ADDRESS: 5534 Saint Joe Road, Fort Wayne IN 46835, United States DESCRIPTION: I am starting this company to offer professional notary services within the State of Indiana. I also plan to be commissioned to offer online remote notary services as well. Heartland Institute of Financial Education / 0514-present / INVESTMENT RELATED: No / 8301 E. Prentice Ave. suite 312, Greenwood Village, Co 80111 / Certified Financial Education / Financial literacy and college planning workshops / hrs work monthly: 20 / Sec trading hrs: 1 / Email prospective workshop attendees, send email newsletters, set and teach financial literacy workshops
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2018-03-17 |
| S63 | Uniform Securities Agent State Law Examination | 2011-05-11 |
| S66 | Uniform Combined State Law Examination | 2005-12-31 |
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