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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
KY RA APPROVED 2012-01-06
  • KY RA
    APPROVED
    Since 2012-01-06

Branch Locations

12910 Shelbyville Rd., Louisville, KY 40243 • 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
Wfgia Louisville KY 04/2001 Present
Spectrum Financial Group Louisville KY 05/1980 Present
Swat Llc Louisville KY 06/2008 Present
Transamerica Financial Advisors, Llc Louisville KY 01/2012 Present
Eastgate Village Estates Residents Association Louisville KY 04/2004 12/2020
Netlaw Inc. Luisville KY 02/2019 Present
Wealthwave Johns Creek GA 05/2012 Present
  • 04/2001 → Present
    Wfgia
    Louisville, KY
  • 05/1980 → Present
    Spectrum Financial Group
    Louisville, KY
  • 06/2008 → Present
    Swat Llc
    Louisville, KY
  • 01/2012 → Present
    Louisville, KY
  • 04/2004 → 12/2020
    Eastgate Village Estates Residents Association
    Louisville, KY
  • 02/2019 → Present
    Netlaw Inc.
    Luisville, KY
  • 05/2012 → Present
    Wealthwave
    Johns Creek, GA
Previous Registrations
  • 2007-05-29 → 2012-01-06
    Investment Advisors International, Inc.
    Louisville, KY
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Wealthwave | marketing | approved co-brand company through WFGIA | 05/2012 | Johns Creek, GA | investment related NETLAW INC / INVESTMENT RELATED - NO / 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243 / Online Legal Document prep service for Wills, PAO, Living Wills, Healthcare Disclosures and Trusts / Associcate / hours per month 10 / Securities Trading hours 0 / duties: Provide clients the online resource to secure their Estate Legal Documents SWAT LLC/no/Louisville KY/owner (50%)4-1995/Property management company created to manage my business lease and expenses plus sublease agreements/no compensation Sandra Pauline Miller dba/Spectrum Financial Group/3000 Breckenridge Ln Louisville KY 40220 502.819.3454/owner-independent agent 04/2002/this dba is for tax purposes single ownership self employed/sell health insurance and Relative Group products vision, dental disability flex spending accounts/assess client needs and shop for best products and best rates for client educate employees on their benefit packages

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2007-04-03
S63 Uniform Securities Agent State Law Examination 1993-11-15
  • S65 Uniform Investment Adviser Law Examination
    2007-04-03
  • S63 Uniform Securities Agent State Law Examination
    1993-11-15
Other Names
  • Sandy Miller
  • Sandra P Miller

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