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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
TX RA APPROVED_RES 2022-01-14
CA RA APPROVED 2017-09-26
  • TX RA
    APPROVED_RES
    Since 2022-01-14
  • CA RA
    APPROVED
    Since 2017-09-26

Branch Locations

17671 Cowan, Irvine, CA 92614 • 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 Newport Beach CA 01/2024 Present
Informa Research Service Calabasas CA 12/2010 09/2020
Health Insurance Tujunga CA 03/2011 09/2020
Transamerica Financial Advisors, Inc Newport Beach CA 01/2012 Present
Torabian Business Management, Inc. Tujunga CA 04/2016 01/2024
Ihss Chatsworth CA 01/2024 Present
  • 01/2024 → Present
    Wfgia
    Newport Beach, CA
  • 12/2010 → 09/2020
    Informa Research Service
    Calabasas, CA
  • 03/2011 → 09/2020
    Health Insurance
    Tujunga, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Newport Beach, CA
  • 04/2016 → 01/2024
    Torabian Business Management, Inc.
    Tujunga, CA
  • 01/2024 → Present
    Ihss
    Chatsworth, CA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc IHSS POSITION: Care Provider NATURE: In-Home Healthcare Services INVESTMENT RELATED: No NUMBER OF HOURS: 74 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2024 ADDRESS: 21615 Plummer St., Chatsworth CA 91311, United States DESCRIPTION: In-Home Support Services provides healthcare services to the elderly. Through this organization, I will be providing in-home care to my father.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-09-26
S63 Uniform Securities Agent State Law Examination 2010-08-18
  • S65 Uniform Investment Adviser Law Examination
    2017-09-26
  • S63 Uniform Securities Agent State Law Examination
    2010-08-18

View on SEC IAPD

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