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Kathleen Ann Brown

Transamerica Retirement Advisors, LLC

Lakeville, MN

CRD 2496219

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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

AuthorityCategoryStatusDate
MN RA APPROVED 2014-01-02
  • MN RA
    APPROVED
    Since 2014-01-02

Branch Locations

Lakeville, MN • 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
Transamerica Investors Securities Corporation St. Paul MN 01/2014 Present
Transamerica Retirement Solutions St. Paul MN 01/2014 Present
  • 01/2014 → Present
    Transamerica Investors Securities Corporation
    St. Paul, MN
  • 01/2014 → Present
    Transamerica Retirement Solutions
    St. Paul, MN
Previous Registrations
  • 2001-11-13 → 2007-11-27
    Wells Fargo Investments, Llc
    Minneapolis, MN
    Roseville, MN
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2008-06-06
S65 Uniform Investment Adviser Law Examination 2001-10-29
S63 Uniform Securities Agent State Law Examination 1999-01-18
  • S66 Uniform Combined State Law Examination
    2008-06-06
  • S65 Uniform Investment Adviser Law Examination
    2001-10-29
  • S63 Uniform Securities Agent State Law Examination
    1999-01-18
Designations
  • Certified Financial Planner
Other Names
  • Kathleen Ann Krauss

View on SEC IAPD

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