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Transamerica Retirement Advisors, LLC CRD 107319
$18.8B regulatory AUM
Reported services (Item 5G)
From the firm’s Form ADV. Read the guides:
6400 C Street Sw, Cedar Rapids, IA 52499 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NC | RA | APPROVED | 2024-09-30 |
Branch Locations
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Wells Fargo Advisors | St Louis | MO | 01/2015 | 11/2016 |
| Wells Fargo Clearing Services, Llc | St Louis | MO | 11/2016 | 08/2017 |
| Wells Fargo Clearing Services, Llc | Charlotte | NC | 01/2023 | 05/2024 |
| Wells Fargo Bank, Na | Charlotte | NC | 01/2023 | 05/2024 |
| Union77 Llc | Cornelius | NC | 09/2017 | 09/2020 |
| Mortgage Right | Charlotte | NC | 10/2020 | 11/2022 |
| Transamerica Investors Securities Corporation | Cornelius | NC | 09/2024 | Present |
| Transamerica Life Insurance Company | Cornelius | NC | 09/2024 | Present |
| Unemployed | Cornelius | NC | 05/2024 | 09/2024 |
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2023-08-01 |
| S63 | Uniform Securities Agent State Law Examination | 2023-06-30 |
| S66 | Uniform Combined State Law Examination | 2014-09-19 |
| S66 | Uniform Combined State Law Examination | 2014-09-19 |
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