Kandi Rae Kauffman

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

Authority	Category	Status	Date
TX	RA	APPROVED_RES	2020-04-23
WI	RA	APPROVED	2013-05-24

TX RA
APPROVED_RES

Since 2020-04-23
WI RA
APPROVED

Since 2013-05-24

Branch Locations

2901 W. Beltline Highway Suite 200, Madison, WI 53713 • 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 Financial Advisors, Inc	Madison	WI	10/2012	Present
World Financial Group, Inc.	Madison	WI	07/2012	Present
Cuna Mutual Group	Madison	WI	09/1987	03/2021
Ytb Travel	Wood River	IL	11/2010	Present
Krk Solutions Llc	Madison	WI	09/2004	Present

10/2012 → Present

Transamerica Financial Advisors, Inc

Madison, WI
07/2012 → Present

World Financial Group, Inc.

Madison, WI
09/1987 → 03/2021

Cuna Mutual Group

Madison, WI
11/2010 → Present

Ytb Travel

Wood River, IL
09/2004 → Present

Krk Solutions Llc

Madison, WI

Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. (2)YTB TRAVEL; NOT INVESTMENT-RELATED; 1901 E EDWARDSVILLE RD, WOOD RIVER, IL 62095; WEBSITE THAT HAS ONLINE SHOPPING AND ONLINE TRAVEL; WEBSITE OWNER AND TRAVEL AGENT; 11/1/10; 2 HRS/MONTH; BOOK TRAVEL, SEND MY WEBSITE TO OTHERS TO BOOK TRAVEL THEMSELVES (3)KRK SOLUTIONS LLC; NOT INVESTMENT-RELATED; 2848 WARNER LANE, MADISON, WI 53713; IT IS THE NAME USED FOR MY LLC. I RECORD MY TAX INFORMATION THROUGH THE NAME KRK INVESTMENT SOLUTIONS LLC. IT IS USED AS A HOLDING COMPANY; OWNER; 9/1/04; PAY $25.00 ANNUAL FEE TO KEEP THE LLC REQUIREMENTS. PREPARE MY PERSONAL TAX FORMS UNDER THE SECTION C OF THE BUSINESS ENTITY OF KRK INVESTMENT SOLUTIONS, LLC.

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2013-05-23
S63	Uniform Securities Agent State Law Examination	2013-03-23

S65 Uniform Investment Adviser Law Examination

2013-05-23
S63 Uniform Securities Agent State Law Examination

2013-03-23

View on SEC IAPD