James Joseph Gorman

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:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 11/2015 → 04/2017
  Vaco
  Cincinnati, OH
• 04/2017 → 01/2018
  Unemployed
  Louisville, KY
• 02/2018 → 09/2023
  Td Ameritrade
  Saint Louis, MO
• 08/2023 → 01/2024
  Charles Schwab & Co., Inc.
  Huntersville, NC
• 09/2023 → 01/2024
  Charles Schwab & Co., Inc.
  Huntersville, NC
• 04/2024 → 02/2025
  Empower Financial Services, Inc
  Greenwood Village, CO
• 04/2024 → 02/2025
  Empower Advisory Group, Llc
  Greenwood Village, CO
• 06/2026 → Present
  Transamerica Investors Securities, Llc
  Louisville, KY
• 06/2026 → Present
  Transamerica Life Insurance Company
  Louisville, KY
• 03/2025 → 06/2026
  Unemployed
  Louisville , KY

Previous Registrations

• 2024-04-04 → 2025-02-19
  Empower Advisory Group, Llc
  Huntersville, NC
  Greenwood Village, CO
  Knoxville, TN
• 2023-08-11 → 2024-01-10
  Charles Schwab & Co., Inc.
  Huntersville, NC
• 2019-03-06 → 2023-09-07
  Td Ameritrade Investment Management, Llc
  Charlotte, NC
  Charlotte, NC
  Huntersville, NC
• 2019-03-06 → 2022-10-14
  Td Ameritrade, Inc.
  St. Louis, MO
  Charlotte, NC
  Huntersville, NC

Exams

• S66 Uniform Combined State Law Examination
  2019-02-26
• S63 Uniform Securities Agent State Law Examination
  2018-04-03

Other Names

• James Joseph Gorman
• James Joseph Gorman