Dennis Raymond Rooney

Transamerica Retirement Advisors, LLC

CRD 6330718

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Employer firm

Transamerica Retirement Advisors, LLC CRD 107319

$18.8B regulatory AUM

Reported services (Item 5G)

Portfolio management (individuals)
Portfolio management (institutions)
Pension consulting
Educational seminars

From the firm’s Form ADV. Read the guides:

Current Employers

Transamerica Retirement Advisors, Llc

6400 C Street Sw, Cedar Rapids, IA 52499 • United States

Current Registrations

Authority	Category	Status	Date
NC	RA	APPROVED	2019-09-16

NC RA
APPROVED

Since 2019-09-16

Branch Locations

Charlotte, NC • 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 Retirement Solutions	St. Petersburg	FL	04/2014	05/2017
Transamerica Investors Securities Corporation	St. Petersburg	FL	05/2014	12/2016
Transamerica Retirement Solutions	Saint Petersburg	FL	05/2017	Present
Transamerica Investors Securities Corporation	St. Petersburg	FL	05/2017	Present

04/2014 → 05/2017

Transamerica Retirement Solutions

St. Petersburg, FL
05/2014 → 12/2016

Transamerica Investors Securities Corporation

St. Petersburg, FL
05/2017 → Present

Transamerica Retirement Solutions

Saint Petersburg, FL
05/2017 → Present

Transamerica Investors Securities Corporation

St. Petersburg, FL

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2017-08-14
S63	Uniform Securities Agent State Law Examination	2017-05-17

S65 Uniform Investment Adviser Law Examination

2017-08-14
S63 Uniform Securities Agent State Law Examination

2017-05-17

View on SEC IAPD

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