Transamerica Financial Advisors, Llc
SEC-registered
Insurance-Affiliated · Mid-sized ($1B–$10B)
CRD 16164
· SEC file 801-38618
· Philadelphia, PA
· www.linkedin.com
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ADV data as of Mar 31, 2026
- Regulatory AUM
- $2.1B
- Discretionary
- $1.7B
- Clients
- 42,735
- Avg AUM / client
- $49.3K
- Accounts
- 42,735
- Employees
- 991
AUM over time
$969M
$4.7B
Jan 13, 2012
Mar 31, 2026
Reported AUM from Form ADV filings, plotted by filing date · as of Mar 31, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | 41,279 | $1.6B | 78.0% |
| High net worth individuals | 1,218 | $420M | 20.0% |
| Pension and profit sharing plans | 68 | $23.9M | 1.14% |
| Charitable organizations | 11 | $2.5M | 0.12% |
| Corporations and other businesses | 67 | $13.2M | 0.62% |
| Other | 92 | $2.7M | 0.13% |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| The Priority Center 403(b) Plan The Priority Center, Ending The Cycle Of Generational Trauma | 2024 | |
| Tx Team Rehab, Inc. 401(k) Profit Sharing Plan Tx Team Rehab, Inc. | 2024 | |
| St. Joseph Center 403(b) Plan St. Joseph Center | 2024 | |
| Epes Transport System 401(k) Retirement Plan Epes Transport System, Llc | 2024 | |
| True Leaf 401(k) Plan True Leaf Llc | 2024 |
People (1,104)
roster as of Jul 20, 2026| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Beitzel, Brian | Director, Chief Financial Officer | Jan 2017 (10y) | Less than 5% | |
| Christina D Kramer | Chief Compliance Officer | Jun 2022 (4y) | Less than 5% | |
| Michelle Anne Barry | Director, President, Ceo, Chief Supervisory Officer | Feb 2024 (3y) | Less than 5% | |
| Robert Costello | Chief Operations Officer | Jul 2024 (2y) | Less than 5% | |
| Aaron Michael Casey | Registered representative | Jan 2012 (15y) | ||
| Albert Kie Tat Law | Registered representative | Jan 2012 (15y) | ||
| Albert Martinez | Registered representative | Jan 2012 (15y) | ||
| Alexia Marie Gooch | Registered representative | Jan 2012 (15y) | ||
| Anca Barbat | Registered representative | Jan 2012 (15y) | ||
| Andrew Cebulskie | Registered representative | Jan 2012 (15y) | ||
| Andrew David Laws | Registered representative | Jan 2012 (15y) | ||
| Andrew David Wellner | Registered representative | Jan 2012 (15y) | ||
| Andrew Michael Schaad | Registered representative | Jan 2012 (15y) | ||
| Andy Weng | Registered representative | Jan 2012 (15y) | ||
| Angela Senetra Mccart | Registered representative | Jan 2012 (15y) | ||
| Angelo Gurrieri | Registered representative | Jan 2012 (15y) | ||
| Anna Jean Alexander | Registered representative | Jan 2012 (15y) | ||
| Anthony Christopher Hicks | Registered representative | Jan 2012 (15y) | ||
| Armando Rafael Gil | Registered representative | Jan 2012 (15y) | ||
| Azar Safari Azarpour | Registered representative | Jan 2012 (15y) | ||
| Aleece Aron Kardon | Registered representative | Jan 2012 (15y) | ||
| Baoqing Li | Registered representative | Jan 2012 (15y) | ||
| Barry Charles King | Registered representative | Jan 2012 (15y) | ||
| Barry Stuart Naiditch | Registered representative | Jan 2012 (15y) | ||
| Benjamin John York | Registered representative | Jan 2012 (15y) | ||
| Benjamin Paul Affleck | Registered representative | Jan 2012 (15y) | ||
| Benny Ongkobudidjojo | Registered representative | Jan 2012 (15y) | ||
| Bernadette Youngsil Kim | Registered representative | Jan 2012 (15y) | ||
| Blake Northup Jordan | Registered representative | Jan 2012 (15y) | ||
| Boyd Frederick Curtis | Registered representative | Jan 2012 (15y) | ||
| Bradley Lloyd Barker | Registered representative | Jan 2012 (15y) | ||
| Bradley Spencer Whittaker | Registered representative | Jan 2012 (15y) | ||
| Brandon Huff | Registered representative | Jan 2012 (15y) | ||
| Brian Christopher Hackett | Registered representative | Jan 2012 (15y) | ||
| Brian Eric Payne | Registered representative | Jan 2012 (15y) | ||
| Brian James Loiseau | Registered representative | Jan 2012 (15y) | ||
| Britton Erick Meland | Registered representative | Jan 2012 (15y) | ||
| Bruce Alan Bailey | Registered representative | Jan 2012 (15y) | ||
| Bryan D Linder | Registered representative | Jan 2012 (15y) | ||
| Bryce Dee Peterson | Registered representative | Jan 2012 (15y) | ||
| Bryce Johnson Winkel | Registered representative | Jan 2012 (15y) | ||
| Byron Van Patton | Registered representative | Jan 2012 (15y) | ||
| Carl Henry Cook | Registered representative | Jan 2012 (15y) | ||
| Charles David Kreider | Registered representative | Jan 2012 (15y) | ||
| Cheng Heong Yeoh | Registered representative | Jan 2012 (15y) | ||
| Chester Alexander Zielinski | Registered representative | Jan 2012 (15y) | ||
| Chiayu Wu | Registered representative | Jan 2012 (15y) | ||
| Chiew Sing Ling | Registered representative | Jan 2012 (15y) | ||
| Chinghui Lin | Registered representative | Jan 2012 (15y) | ||
| Christopher James Mayo | Registered representative | Jan 2012 (15y) | ||
| Christopher Philip Henderson | Registered representative | Jan 2012 (15y) | ||
| Clement Chiang | Registered representative | Jan 2012 (15y) | ||
| Connie Hsiang Yuan Jensen | Registered representative | Jan 2012 (15y) | ||
| Craig Alan Nochumson | Registered representative | Jan 2012 (15y) | ||
| Dahkwang Yeh | Registered representative | Jan 2012 (15y) | ||
| Dai Cong Pham | Registered representative | Jan 2012 (15y) | ||
| Dana Lee Decknadel | Registered representative | Jan 2012 (15y) | ||
| Daniel E Melander | Registered representative | Jan 2012 (15y) | ||
| Daniel Hendrikus Gunadi | Registered representative | Jan 2012 (15y) | ||
| Darren Loy Peterson | Registered representative | Jan 2012 (15y) | ||
| David Alan Sweitzer | Registered representative | Jan 2012 (15y) | ||
| David Paul Prom | Registered representative | Jan 2012 (15y) | ||
| David Pham | Registered representative | Jan 2012 (15y) | ||
| Deborah Gail Duckworth | Registered representative | Jan 2012 (15y) | ||
| Dennis Matthew Odin | Registered representative | Jan 2012 (15y) | ||
| Deron Keith Ferrell | Registered representative | Jan 2012 (15y) | ||
| Desmond Anthony Scott | Registered representative | Jan 2012 (15y) | ||
| Desmond Lam | Registered representative | Jan 2012 (15y) | ||
| Don H Khieu | Registered representative | CFP | Jan 2012 (15y) | |
| Donald Eugene Kuhn | Registered representative | Jan 2012 (15y) | ||
| Dan Min Wang | Registered representative | Jan 2012 (15y) | ||
| Edward Douglas Borst | Registered representative | Jan 2012 (15y) | ||
| Elena Rotariu | Registered representative | Jan 2012 (15y) | ||
| Emilio Garcia | Registered representative | Jan 2012 (15y) | ||
| Ericka Lynette Towe | Registered representative | Jan 2012 (15y) | ||
| Edward Kent Nicolls | Registered representative | Jan 2012 (15y) | ||
| Eric Mark Mc Arthur | Registered representative | Jan 2012 (15y) | ||
| Frank James Schoen | Registered representative | Jan 2012 (15y) | ||
| Fuxiao Su | Registered representative | Jan 2012 (15y) | ||
| Gaoling Fu | Registered representative | Jan 2012 (15y) | ||
| Garth Lincoln Driggs | Registered representative | Jan 2012 (15y) | ||
| Gary Lee Strawn | Registered representative | Jan 2012 (15y) | ||
| Gary Leonard Ziegler | Registered representative | Jan 2012 (15y) | ||
| Geoffrey Luis Morris | Registered representative | Jan 2012 (15y) | ||
| Ghassan (Gus) Nakhle Nakhoul | Registered representative | Jan 2012 (15y) | ||
| Gloria Xu Yunjun Long | Registered representative | Jan 2012 (15y) | ||
| Grace Marie Himmelright | Registered representative | Jan 2012 (15y) | ||
| Grace Meina Chen | Registered representative | Jan 2012 (15y) | ||
| Gregory Dale Sheets | Registered representative | Jan 2012 (15y) | ||
| Gregory Dean Sorensen | Registered representative | Jan 2012 (15y) | ||
| Gregory John Dellis | Registered representative | Jan 2012 (15y) | ||
| Hadi Kusumo | Registered representative | Jan 2012 (15y) | ||
| Hanna Liza Horenstein | Registered representative | Jan 2012 (15y) | ||
| Holly Ha La | Registered representative | Jan 2012 (15y) | ||
| Hye Soon Kim | Registered representative | Jan 2012 (15y) | ||
| Hyun Sun Shin | Registered representative | Jan 2012 (15y) | ||
| Ilia Yih Hueih Tsai | Registered representative | Jan 2012 (15y) | ||
| Jack Roger Feldman | Registered representative | Jan 2012 (15y) | ||
| Jae Hak Ko | Registered representative | Jan 2012 (15y) | ||
| Jaime Marie Villalovos | Registered representative | Jan 2012 (15y) | ||
| James Gilbert Mardock | Registered representative | Jan 2012 (15y) | ||
| James Kent Treat | Registered representative | Jan 2012 (15y) | ||
| James Leo Mann | Registered representative | Jan 2012 (15y) | ||
| James Richard Cabral | Registered representative | Jan 2012 (15y) | ||
| James Thomas Carroll | Registered representative | Jan 2012 (15y) | ||
| Jana Birma Woodhouse | Registered representative | Jan 2012 (15y) | ||
| Janet Elizabeth Tooley | Registered representative | Jan 2012 (15y) | ||
| Jarrod Bruce Hendricks | Registered representative | Jan 2012 (15y) | ||
| Jason Eric Weston | Registered representative | Jan 2012 (15y) | ||
| Jason Jeffrey Hagen | Registered representative | Jan 2012 (15y) | ||
| Jay Row Thompson | Registered representative | Jan 2012 (15y) | ||
| Jeffrey Carvin Anderson | Registered representative | Jan 2012 (15y) | ||
| Jeffrey Lynn Bunderson | Registered representative | Jan 2012 (15y) | ||
| Jeroen Hoogeveen | Registered representative | Jan 2012 (15y) | ||
| Jerome David Jostak | Registered representative | Jan 2012 (15y) | ||
| Jessie Young Tran | Registered representative | Jan 2012 (15y) | ||
| Joel Anthony Servatius | Registered representative | Jan 2012 (15y) | ||
| John Joseph Scinto | Registered representative | Jan 2012 (15y) | ||
| John Quang Pham | Registered representative | Jan 2012 (15y) | ||
| John Shelley Knight | Registered representative | Jan 2012 (15y) | ||
| John Sung Woo | Registered representative | Jan 2012 (15y) | ||
| Jonathan S Yu | Registered representative | Jan 2012 (15y) | ||
| Jonathan Tyler Braaksma | Registered representative | Jan 2012 (15y) | ||
| Jorick Kenneth Gaines | Registered representative | Jan 2012 (15y) | ||
| Joseph G Rodriguez | Registered representative | CFP | Jan 2012 (15y) | |
| Joseph Scott Ridling | Registered representative | Jan 2012 (15y) | ||
| Josh William Schwieterman | Registered representative | Jan 2012 (15y) | ||
| Joshua Robert Byrne | Registered representative | Jan 2012 (15y) | ||
| Julian Phillip Owens | Registered representative | Jan 2012 (15y) | ||
| Julie Ann Johnson | Registered representative | Jan 2012 (15y) | ||
| Jane Natalie Landsberger | Registered representative | Jan 2012 (15y) | ||
| Jeanette Marie Hilton | Registered representative | Jan 2012 (15y) | ||
| Jonathan Eli Cline | Registered representative | Jan 2012 (15y) | ||
| Judy Sanga Se Fune | Registered representative | Jan 2012 (15y) | ||
| Karl N Borgersen | Registered representative | Jan 2012 (15y) | ||
| Kenneth Lee Block | Registered representative | Jan 2012 (15y) | ||
| Kevin Gene Mcdaniel | Registered representative | Jan 2012 (15y) | ||
| Kevin James Larsen | Registered representative | Jan 2012 (15y) | ||
| Kevin Lee Grenko | Registered representative | Jan 2012 (15y) | ||
| Kevin Mikel Glad | Registered representative | Jan 2012 (15y) | ||
| Kevin Scott Rest | Registered representative | Jan 2012 (15y) | ||
| Kimberly Ann Scouller | Registered representative | Jan 2012 (15y) | ||
| Kimberly E Huser | Registered representative | Jan 2012 (15y) | ||
| Kris Lavar Stevenson | Registered representative | Jan 2012 (15y) | ||
| Kent Banner | Registered representative | Jan 2012 (15y) | ||
| Ladislao Jorge Kalmar | Registered representative | Jan 2012 (15y) | ||
| Lanzhen Zhuang | Registered representative | Jan 2012 (15y) | ||
| Lenka Holman | Registered representative | Jan 2012 (15y) | ||
| Lily Wei Yee Leung Ou | Registered representative | Jan 2012 (15y) | ||
| Lisa Marie Sandlin | Registered representative | Jan 2012 (15y) | ||
| Lorraine Reane Siller | Registered representative | Jan 2012 (15y) | ||
| Lu Ling Li | Registered representative | Jan 2012 (15y) | ||
| Luyen H Nguyen | Registered representative | Jan 2012 (15y) | ||
| Linh H Tonnu | Registered representative | Jan 2012 (15y) | ||
| Maciej Szewerniak | Registered representative | Jan 2012 (15y) | ||
| Mark Aaron Gentry | Registered representative | Jan 2012 (15y) | ||
| Mary Lennox | Registered representative | Jan 2012 (15y) | ||
| Matthew J Gotto | Registered representative | Jan 2012 (15y) | ||
| Megan Elizabeth Minogue | Registered representative | Jan 2012 (15y) | ||
| Mehrnaz Borna Mendoza | Registered representative | Jan 2012 (15y) | ||
| Meileh Coffey Burns | Registered representative | Jan 2012 (15y) | ||
| Melvin Muela | Registered representative | Jan 2012 (15y) | ||
| Meng Yu Eeo | Registered representative | Jan 2012 (15y) | ||
| Michael Glen Larson | Registered representative | Jan 2012 (15y) | ||
| Michael Patrick Casey | Registered representative | Jan 2012 (15y) | ||
| Michael Ray Lee | Registered representative | Jan 2012 (15y) | ||
| Michael Robert Neumann | Registered representative | Jan 2012 (15y) | ||
| Matthew B. Luckey | Registered representative | Jan 2012 (15y) | ||
| Nafeng Irene Hioe | Registered representative | Jan 2012 (15y) | ||
| Nasser Afzali | Registered representative | Jan 2012 (15y) | ||
| Nelson Lee Tan | Registered representative | Jan 2012 (15y) | ||
| Nghiem Trung Nguyen | Registered representative | Jan 2012 (15y) | ||
| Noelle Kim | Registered representative | Jan 2012 (15y) | ||
| Oscar Raul Gutierrez | Registered representative | Jan 2012 (15y) | ||
| Pablo Huston Albarran | Registered representative | Jan 2012 (15y) | ||
| Pai Yen Chung | Registered representative | CFP | Jan 2012 (15y) | |
| Patricia Cozine Cole | Registered representative | Jan 2012 (15y) | ||
| Patricia Jean Dunn | Registered representative | Jan 2012 (15y) | ||
| Patrick James Mcardle | Registered representative | Jan 2012 (15y) | ||
| Pei Ney Ooi | Registered representative | Jan 2012 (15y) | ||
| Philip Scott Kingrey | Registered representative | Jan 2012 (15y) | ||
| Phillip James Pardo | Registered representative | Jan 2012 (15y) | ||
| Phillip Vern Lobato | Registered representative | Jan 2012 (15y) | ||
| Pia Miranda Snyder | Registered representative | Jan 2012 (15y) | ||
| Qiliang Zhu | Registered representative | Jan 2012 (15y) | ||
| Qinghua Liu | Registered representative | Jan 2012 (15y) | ||
| Randall Keith Block | Registered representative | Jan 2012 (15y) | ||
| Randall Scott Childress | Registered representative | Jan 2012 (15y) | ||
| Raymond Cecil Mitchell | Registered representative | Jan 2012 (15y) | ||
| Raymond William Seward | Registered representative | Jan 2012 (15y) | ||
| Rebecca D Milord | Registered representative | Jan 2012 (15y) | ||
| Ric R Roman | Registered representative | Jan 2012 (15y) | ||
| Richard Brian Cutler | Registered representative | Jan 2012 (15y) | ||
| Richard Dean Sandoval | Registered representative | Jan 2012 (15y) | ||
| Richard Mark Moore | Registered representative | Jan 2012 (15y) | ||
| Robert Bailey Arbon | Registered representative | Jan 2012 (15y) | ||
| Robert Frederick Pearson | Registered representative | Jan 2012 (15y) | ||
| Robert Michael Roman | Registered representative | Jan 2012 (15y) | ||
| Robert Stanley Pugh | Registered representative | Jan 2012 (15y) | ||
| Ronald J. Frank | Registered representative | Jan 2012 (15y) | ||
| Rosa Romero Lasnover | Registered representative | Jan 2012 (15y) | ||
| Rudy E Ariate | Registered representative | Jan 2012 (15y) | ||
| Russell L. Appelget | Registered representative | Jan 2012 (15y) | ||
| Rusty Allen Hood | Registered representative | Jan 2012 (15y) | ||
| Ryan Allen | Registered representative | Jan 2012 (15y) | ||
| Randy M Takayama | Registered representative | Jan 2012 (15y) | ||
| Roger Lee Williams | Registered representative | Jan 2012 (15y) | ||
| Samuel R Paget | Registered representative | Jan 2012 (15y) | ||
| Sandra Pauline Miller | Registered representative | Jan 2012 (15y) | ||
| Sandy Yu | Registered representative | Jan 2012 (15y) | ||
| Sharon H. Y. Shyu | Registered representative | Jan 2012 (15y) | ||
| Shawn D Drake | Registered representative | Jan 2012 (15y) | ||
| Shawn Edward Villalovos | Registered representative | Jan 2012 (15y) | ||
| Shawn Paris Patrick | Registered representative | Jan 2012 (15y) | ||
| Sidney Craig Sheridan | Registered representative | Jan 2012 (15y) | ||
| Stacey T Kruse | Registered representative | Jan 2012 (15y) | ||
| Stacey Van Quinn | Registered representative | Jan 2012 (15y) | ||
| Stephen Kovalscik | Registered representative | Jan 2012 (15y) | ||
| Stephen Yuk Hoi Cheng | Registered representative | Jan 2012 (15y) | ||
| Steve Cuong Luong | Registered representative | Jan 2012 (15y) | ||
| Steven Andrew Bodo | Registered representative | Jan 2012 (15y) | ||
| Steven Andrew Miller | Registered representative | Jan 2012 (15y) | ||
| Steven Coute | Registered representative | Chartered Financial Consultant | Jan 2012 (15y) | |
| Steven Waldo Stockdale | Registered representative | Jan 2012 (15y) | ||
| Sunny Kai Shun Leung | Registered representative | Jan 2012 (15y) | ||
| Supra Plows | Registered representative | Jan 2012 (15y) | ||
| Susan Carol Wilson | Registered representative | Jan 2012 (15y) | ||
| Susan Green King | Registered representative | Jan 2012 (15y) | ||
| Sylvia Denise Mckinney | Registered representative | Jan 2012 (15y) | ||
| Stephanie Valechia Hicks | Registered representative | Jan 2012 (15y) | ||
| Tammy Littlefield | Registered representative | Jan 2012 (15y) | ||
| Thomas E Drennan | Registered representative | Jan 2012 (15y) | ||
| Thomas Marshall Baker | Registered representative | Jan 2012 (15y) | ||
| Thomas Richard Mathews | Registered representative | Jan 2012 (15y) | ||
| Thu Quang Dang | Registered representative | Jan 2012 (15y) | ||
| Timothy Sabin | Registered representative | Jan 2012 (15y) | ||
| Timothy Wayne Wooten | Registered representative | Jan 2012 (15y) | ||
| Todd Ryland Kemp | Registered representative | Jan 2012 (15y) | ||
| Trang Dinh Noonan | Registered representative | Jan 2012 (15y) | ||
| Trevor Ray Jenson | Registered representative | Jan 2012 (15y) | ||
| Tu Ducanh Bui | Registered representative | Jan 2012 (15y) | ||
| Tyson Andrew Moore | Registered representative | Jan 2012 (15y) | ||
| Tyson Jon Peterson | Registered representative | Jan 2012 (15y) | ||
| Thomas Donald Hanson | Registered representative | Jan 2012 (15y) | ||
| Timothy Paul Mullaney | Registered representative | Jan 2012 (15y) | ||
| Victor Kuo | Registered representative | Jan 2012 (15y) | ||
| Wan Qing Yang | Registered representative | Jan 2012 (15y) | ||
| Wei Jian | Registered representative | Jan 2012 (15y) | ||
| Weidong Li | Registered representative | Jan 2012 (15y) | ||
| Willard Lance Scott | Registered representative | Jan 2012 (15y) | ||
| William Francis Mitchell | Registered representative | Jan 2012 (15y) | ||
| Wei Ping Stephen Sun | Registered representative | Jan 2012 (15y) | ||
| William David Cottrell | Registered representative | Jan 2012 (15y) | ||
| Xuan Thanh Nguyen | Registered representative | Jan 2012 (15y) | ||
| Xuping Fan | Registered representative | Jan 2012 (15y) | ||
| Ya Meng | Registered representative | Jan 2012 (15y) | ||
| Yinan Xiao | Registered representative | Jan 2012 (15y) | ||
| Ying Zhu | Registered representative | Jan 2012 (15y) | ||
| Yingyu Luan Counsell | Registered representative | Jan 2012 (15y) | ||
| Zenith Ke Koy | Registered representative | Jan 2012 (15y) | ||
| Zhaohui Connie Chen | Registered representative | Jan 2012 (15y) | ||
| Zhaoxia Tan | Registered representative | CFP | Jan 2012 (15y) | |
| Zhi Hong Liu | Registered representative | Jan 2012 (15y) | ||
| Zhong Shi | Registered representative | CFP | Jan 2012 (15y) | |
| Zheng Qu | Registered representative | Jan 2012 (15y) | ||
| Yanfang Li | Registered representative | Jan 2012 (15y) | ||
| Melissa Sue Thurber | Registered representative | Mar 2012 (14y) | ||
| Haiyu Qi | Registered representative | Mar 2012 (14y) | ||
| Jeffrey S Perkins | Registered representative | Mar 2012 (14y) | ||
| Wilfred Herman Warrick | Registered representative | Apr 2012 (14y) | ||
| Hsueh Liu | Registered representative | Apr 2012 (14y) | ||
| Fadette Emmanuelle Colin | Registered representative | May 2012 (14y) | ||
| Mark Leichty | Registered representative | May 2012 (14y) | ||
| Ronald F. Hannegan | Registered representative | Jun 2012 (14y) | ||
| Irma Ivonne Sandoval | Registered representative | Jul 2012 (14y) | ||
| Malo Kevin Lee Carpenter | Registered representative | Jul 2012 (14y) | ||
| Guillermo Manuel Milord | Registered representative | Aug 2012 (14y) | ||
| Daniel Trujillo | Registered representative | Aug 2012 (14y) | ||
| Sean Michael Kelley | Registered representative | Aug 2012 (14y) | ||
| Jeffrey Robert Huber | Registered representative | Aug 2012 (14y) | ||
| Leslie Theilacker | Registered representative | Aug 2012 (14y) | ||
| Ying Fang | Registered representative | Sep 2012 (14y) | ||
| John Jalil | Registered representative | Sep 2012 (14y) | ||
| Yuan Li Conde | Registered representative | Sep 2012 (14y) | ||
| Michael Joseph Martens | Registered representative | Sep 2012 (14y) | ||
| Zhiyuan Zhang | Registered representative | Oct 2012 (14y) | ||
| Yaochy Lin | Registered representative | Jan 2013 (14y) | ||
| Mark Edward Onstott | Registered representative | Jan 2013 (14y) | ||
| Daniel B. Collings | Registered representative | Jan 2013 (14y) | ||
| Frederick Douglas Williams | Registered representative | Jan 2013 (14y) | ||
| Ryan Jeffrey Wagner | Registered representative | Feb 2013 (13y) | ||
| David Pikop | Registered representative | Feb 2013 (13y) | ||
| Hsiu Ching Joan Chiao | Registered representative | Mar 2013 (13y) | ||
| Martha Walter Royan | Registered representative | Mar 2013 (13y) | ||
| Jianmin You | Registered representative | Mar 2013 (13y) | ||
| Yan Liu | Registered representative | Mar 2013 (13y) | ||
| Lee Alan Rosenblum | Registered representative | Apr 2013 (13y) | ||
| Jodi Brown | Registered representative | May 2013 (13y) | ||
| Kandi Rae Kauffman | Registered representative | May 2013 (13y) | ||
| Barbara Reid Tilka | Registered representative | Jun 2013 (13y) | ||
| Juliana Lanier | Registered representative | Jun 2013 (13y) | ||
| Mario Conrado Delacruz | Registered representative | Jun 2013 (13y) | ||
| Nianke Ma | Registered representative | Jul 2013 (13y) | ||
| Carrie Lynn Hughes | Registered representative | Jul 2013 (13y) | ||
| Wei Zhang | Registered representative | Oct 2013 (13y) | ||
| Stephanie Storey | Registered representative | Nov 2013 (13y) | ||
| Phong Le | Registered representative | Nov 2013 (13y) | ||
| Min Zhu | Registered representative | Nov 2013 (13y) | ||
| Xuejun Du | Registered representative | Jan 2014 (13y) | ||
| Yan Wang | Registered representative | Jan 2014 (13y) | ||
| Linly Kenrol Ramlal | Registered representative | Feb 2014 (13y) | ||
| Victor Torres Salvador | Registered representative | Feb 2014 (12y) | ||
| Qing Ji | Registered representative | Feb 2014 (12y) | ||
| David Alan Winn | Registered representative | Mar 2014 (12y) | ||
| Rob Gerdes | Registered representative | Mar 2014 (12y) | ||
| Sara Dickson | Registered representative | Apr 2014 (12y) | ||
| Mark Alan Gaylord | Registered representative | Chartered Financial Consultant | Apr 2014 (12y) | |
| Andrea Marie Hohler | Registered representative | May 2014 (12y) | ||
| Yong Lin | Registered representative | May 2014 (12y) | ||
| Patricia Anne Wojnarowski | Registered representative | May 2014 (12y) | ||
| Ren Xu | Registered representative | Jun 2014 (12y) | ||
| Taeook Kwon | Registered representative | Jun 2014 (12y) | ||
| Mary Lerane Burress | Registered representative | Jul 2014 (12y) | ||
| Timothy A Francis | Registered representative | Jul 2014 (12y) | ||
| Wei David Wu | Registered representative | Jul 2014 (12y) | ||
| Gene Coppa | Registered representative | Aug 2014 (12y) | ||
| Margaret Lee Mcmahon | Registered representative | Aug 2014 (12y) | ||
| Robin Lynn Corley | Registered representative | Sep 2014 (12y) | ||
| Jeng Yang Ling | Registered representative | CFP | Oct 2014 (12y) | |
| Gregory Joseph Clingerman | Registered representative | Nov 2014 (12y) | ||
| Donald Stewart Braun | Registered representative | Jan 2015 (12y) | ||
| Kendal Ray Mc Cray | Registered representative | Jan 2015 (12y) | ||
| Craig Korth | Registered representative | Jan 2015 (12y) | ||
| Ming Zeng | Registered representative | Jan 2015 (12y) | ||
| Princess Gertrude Baylosis Quianzon | Registered representative | Jan 2015 (12y) | ||
| Sherri Deanna Wignall | Registered representative | Jan 2015 (12y) | ||
| Shih Sheng Li | Registered representative | Mar 2015 (11y) | ||
| Kejia Wang | Registered representative | Mar 2015 (11y) | ||
| Christopher Dorel Whetten | Registered representative | Apr 2015 (11y) | ||
| Andrew Shiu Ming Kom | Registered representative | Apr 2015 (11y) | ||
| Trinh Tuyen Thi Tran | Registered representative | Apr 2015 (11y) | ||
| Tu Chuong Niem | Registered representative | May 2015 (11y) | ||
| Adam Smith Hancock | Registered representative | Jun 2015 (11y) | ||
| Michael Vaughn Holm | Registered representative | Aug 2015 (11y) | ||
| Thaland Dewitt Logan | Registered representative | Sep 2015 (11y) | ||
| Rati Manish Tripathi | Registered representative | Oct 2015 (11y) | ||
| Veena Gandhi | Registered representative | Oct 2015 (11y) | ||
| Evan Neuman | Registered representative | Oct 2015 (11y) | ||
| Darrin Vincent Gulla | Registered representative | Oct 2015 (11y) | ||
| Marico Terrell Walker | Registered representative | Nov 2015 (11y) | ||
| Patricia L Ardern | Registered representative | Dec 2015 (11y) | ||
| Lindy Butler Clark | Registered representative | Dec 2015 (11y) | ||
| Roberto Pflaumer | Registered representative | Dec 2015 (11y) | ||
| Dierra Lynne Morrow Bean | Registered representative | Dec 2015 (11y) | ||
| Mark Allen Winsor | Registered representative | Dec 2015 (11y) | ||
| Joanne Boggs | Registered representative | Jan 2016 (11y) | ||
| Jeffery John Dancer | Registered representative | Feb 2016 (11y) | ||
| Wei Yi Victor Liao | Registered representative | Feb 2016 (10y) | ||
| Jackson Kongwai Tung | Registered representative | Feb 2016 (10y) | ||
| Elvira Buenviaje Aldana | Registered representative | Feb 2016 (10y) | ||
| Sylvester Brown | Registered representative | Mar 2016 (10y) | ||
| Lei Shi | Registered representative | Mar 2016 (10y) | ||
| Emily Sang | Registered representative | Mar 2016 (10y) | ||
| Drew Chris Labarbera | Registered representative | Mar 2016 (10y) | ||
| Prakash K Muduli | Registered representative | May 2016 (10y) | ||
| Payam Homapour | Registered representative | Jun 2016 (10y) | ||
| Matthew Ryan Hopson | Registered representative | Jun 2016 (10y) | ||
| Maritza Nevarez | Registered representative | CFP | Jun 2016 (10y) | |
| Zhiyuan Wang | Registered representative | Jun 2016 (10y) | ||
| Kelechukwu N Oparah | Registered representative | Jun 2016 (10y) | ||
| Manfred Hans Von Ehrenfried | Registered representative | Chartered Financial Consultant | Jun 2016 (10y) | |
| Tina Marie Dickinson | Registered representative | Jul 2016 (10y) | ||
| Frank Loc Duong | Registered representative | Jul 2016 (10y) | ||
| Manh Duy Le | Registered representative | Jul 2016 (10y) | ||
| Richard Du | Registered representative | Aug 2016 (10y) | ||
| Stephanus Willy Hermanto | Registered representative | Aug 2016 (10y) | ||
| Gary Allen Smith | Registered representative | Chartered Financial Consultant | Aug 2016 (10y) | |
| Roger Rosario Cortes | Registered representative | Aug 2016 (10y) | ||
| Heather Lynn Ramlal | Registered representative | Sep 2016 (10y) | ||
| Yuju Hsiung | Registered representative | Sep 2016 (10y) | ||
| Raymond Wai Lee | Registered representative | Sep 2016 (10y) | ||
| Nnaemeka Onyebuchi Onuba | Registered representative | Sep 2016 (10y) | ||
| Dianxia Wang | Registered representative | Oct 2016 (10y) | ||
| Justin Kelly Mambaje | Registered representative | Oct 2016 (10y) | ||
| Kristen Winter | Registered representative | Oct 2016 (10y) | ||
| Theresa Du | Registered representative | Oct 2016 (10y) | ||
| Chimtuo Kate Ofomata | Registered representative | Nov 2016 (10y) | ||
| Xiyin Xu | Registered representative | Nov 2016 (10y) | ||
| Anna Yanhong Liu | Registered representative | Nov 2016 (10y) | ||
| Merrie Liu Moy | Registered representative | Nov 2016 (10y) | ||
| Wan Yin Tan | Registered representative | Dec 2016 (10y) | ||
| Edward Francis Caron | Registered representative | Jan 2017 (10y) | ||
| Mark J Frank | Registered representative | Jan 2017 (10y) | ||
| Alexander Le | Registered representative | Jan 2017 (10y) | ||
| Edward Eric Broome | Registered representative | Jan 2017 (10y) | ||
| Cam Thy Levitan | Registered representative | Feb 2017 (10y) | ||
| Nicholas D Mitchell | Registered representative | Feb 2017 (10y) | ||
| Sheldon Bryce Walker | Registered representative | Feb 2017 (10y) | ||
| Willie Caldwell | Registered representative | Feb 2017 (10y) | ||
| John Phillip Schweitzer | Registered representative | Feb 2017 (9y) | ||
| Tarl Cruz Reynoso | Registered representative | Feb 2017 (9y) | ||
| Yuchen Tang | Registered representative | Feb 2017 (9y) | ||
| Stacie Nguyen | Registered representative | Feb 2017 (9y) | ||
| Cheryl Ann Kelly | Registered representative | Feb 2017 (9y) | ||
| Thuong Xuan Cao Nguyen | Registered representative | Mar 2017 (9y) | ||
| Hong Dai | Registered representative | Apr 2017 (9y) | ||
| Michael D Hess | Registered representative | May 2017 (9y) | ||
| Richard Echevarria | Registered representative | Chartered Financial Consultant | May 2017 (9y) | |
| Janelyne Yu Ho | Registered representative | May 2017 (9y) | ||
| Bradley Todd Akio Hamada | Registered representative | May 2017 (9y) | ||
| Jungtsan James Lee | Registered representative | May 2017 (9y) | ||
| Jeffrey Dean Doss | Registered representative | May 2017 (9y) | ||
| Rajesh Khanna Chundi | Registered representative | Jun 2017 (9y) | ||
| Tsankuen Wang | Registered representative | Jun 2017 (9y) | ||
| Sibi Joseph | Registered representative | Jun 2017 (9y) | ||
| Kristine Marie Gillard | Registered representative | Jun 2017 (9y) | ||
| Nathaniel George Vieira | Registered representative | Jun 2017 (9y) | ||
| Congqun Jian | Registered representative | Jul 2017 (9y) | ||
| Nathan Lee Grenko | Registered representative | Jul 2017 (9y) | ||
| Wan Chieh Lin | Registered representative | Jul 2017 (9y) | ||
| Crystal Kay Trotter | Registered representative | Jul 2017 (9y) | ||
| Hua Zhang | Registered representative | Jul 2017 (9y) | ||
| Hui Yao Stacy Lu | Registered representative | Jul 2017 (9y) | ||
| Antonio Visaya Ponce | Registered representative | Jul 2017 (9y) | ||
| Jeremy Himmelright | Registered representative | Jul 2017 (9y) | ||
| Jay Shi | Registered representative | Jul 2017 (9y) | ||
| Tao Zhang | Registered representative | Aug 2017 (9y) | ||
| Ellen Robin Brandt | Registered representative | Aug 2017 (9y) | ||
| Melvin Harold Bell | Registered representative | Aug 2017 (9y) | ||
| Johven Mike Salang Barga | Registered representative | Aug 2017 (9y) | ||
| Anthony Ray Duncan | Registered representative | Aug 2017 (9y) | ||
| Steven Louis Haag | Registered representative | Aug 2017 (9y) | ||
| Jonghong Park | Registered representative | Aug 2017 (9y) | ||
| August Malmgren Hardee | Registered representative | Aug 2017 (9y) | ||
| Jeffrey Dennis Spainhour | Registered representative | Aug 2017 (9y) | ||
| Dean Dean Royal Sanderson | Registered representative | Sep 2017 (9y) | ||
| Ruth Clarice John | Registered representative | Sep 2017 (9y) | ||
| William J Hutchinson | Registered representative | Sep 2017 (9y) | ||
| Wai Yip Cheung | Registered representative | Sep 2017 (9y) | ||
| Vicki K Schapp | Registered representative | CFP | Sep 2017 (9y) | |
| Anthony Gurrieri | Registered representative | Sep 2017 (9y) | ||
| Arin Torabian | Registered representative | Sep 2017 (9y) | ||
| Priyanka Garg Singhal | Registered representative | Sep 2017 (9y) | ||
| Barry H Wong | Registered representative | Oct 2017 (9y) | ||
| Salvador Sioson Aquino | Registered representative | Oct 2017 (9y) | ||
| Jason Thomas Helble | Registered representative | Oct 2017 (9y) | ||
| Beth Ann Doehler | Registered representative | Oct 2017 (9y) | ||
| Jesus Maymi | Registered representative | Oct 2017 (9y) | ||
| David N Babbitt | Registered representative | Oct 2017 (9y) | ||
| Wenyue Hsu | Registered representative | CFA | Oct 2017 (9y) | |
| Ying Yin | Registered representative | Oct 2017 (9y) | ||
| Kim Seah Low | Registered representative | Oct 2017 (9y) | ||
| Shunly Wang | Registered representative | Oct 2017 (9y) | ||
| Lin Kong | Registered representative | Nov 2017 (9y) | ||
| Gerald Linsday Witcher | Registered representative | Nov 2017 (9y) | ||
| Nathaniel Macapagal Salvador | Registered representative | Nov 2017 (9y) | ||
| Jack Wayland Tucker | Registered representative | Nov 2017 (9y) | ||
| Lijoy G Thomas | Registered representative | Dec 2017 (9y) | ||
| Zhicheng Rui | Registered representative | Dec 2017 (9y) | ||
| William Rob Carlson | Registered representative | Dec 2017 (9y) | ||
| Wei Li | Registered representative | Dec 2017 (9y) | ||
| Alec Michael Falkenberg | Registered representative | Jan 2018 (9y) | ||
| Ryan M Serr | Registered representative | Jan 2018 (9y) | ||
| Dave Iannone | Registered representative | Jan 2018 (9y) | ||
| Daniel Robert Bashinski | Registered representative | Jan 2018 (9y) | ||
| Robert Paul Pacheco | Registered representative | Jan 2018 (9y) | ||
| David Guowei Wu | Registered representative | Feb 2018 (8y) | ||
| Sergio I Xula | Registered representative | Feb 2018 (8y) | ||
| Phuong Uyen Paik | Registered representative | Feb 2018 (8y) | ||
| Derek Christopher Thompson | Registered representative | Feb 2018 (8y) | ||
| Cynthia Fernandez Reidy | Registered representative | Feb 2018 (8y) | ||
| Fan Zhang | Registered representative | Feb 2018 (8y) | ||
| Grace En Dian Ong | Registered representative | Feb 2018 (8y) | ||
| Kim Broge Rasmussen | Registered representative | Mar 2018 (8y) | ||
| Lucy Kwok | Registered representative | Mar 2018 (8y) | ||
| Jian Qi | Registered representative | Mar 2018 (8y) | ||
| Min Grace Hu | Registered representative | Mar 2018 (8y) | ||
| Barbara Chie Leon | Registered representative | Mar 2018 (8y) | ||
| Mahesh Bhupalam | Registered representative | Mar 2018 (8y) | ||
| Chantay W Moore | Registered representative | Mar 2018 (8y) | ||
| Jitendra Kumar Worah | Registered representative | Mar 2018 (8y) | ||
| Lisu Gu | Registered representative | Mar 2018 (8y) | ||
| Haijie Xiao | Registered representative | Mar 2018 (8y) | ||
| Ping Li | Registered representative | Mar 2018 (8y) | ||
| Yancey Herve Mbolda | Registered representative | Mar 2018 (8y) | ||
| Devon Allyn Widdison | Registered representative | Mar 2018 (8y) | ||
| Edna Balido Reyes | Registered representative | Mar 2018 (8y) | ||
| Guangning Weng | Registered representative | Apr 2018 (8y) | ||
| Hoi Ying Yau | Registered representative | Apr 2018 (8y) | ||
| Zhiqiang Liu | Registered representative | Apr 2018 (8y) | ||
| Ruiying Tang | Registered representative | Apr 2018 (8y) | ||
| William Ernest Barnett | Registered representative | Apr 2018 (8y) | ||
| Silvia Sadikin | Registered representative | Apr 2018 (8y) | ||
| Micah Hayes Dixon | Registered representative | Apr 2018 (8y) | ||
| John Michael Harrill | Registered representative | Apr 2018 (8y) | ||
| Sophia Y Shi | Registered representative | Apr 2018 (8y) | ||
| Wai Ping Chu | Registered representative | Apr 2018 (8y) | ||
| Shenghao Melody Song | Registered representative | Apr 2018 (8y) | ||
| Mitchell Dean Hester | Registered representative | May 2018 (8y) | ||
| Tracy D Yang | Registered representative | May 2018 (8y) | ||
| William Black | Registered representative | May 2018 (8y) | ||
| Julie H Sun | Registered representative | May 2018 (8y) | ||
| Jeremiah Schalk | Registered representative | May 2018 (8y) | ||
| Jianhua Yao | Registered representative | May 2018 (8y) | ||
| William James Maxwell | Registered representative | May 2018 (8y) | ||
| Lucinda D Alcott | Registered representative | May 2018 (8y) | ||
| Valerie R Thatcher | Registered representative | May 2018 (8y) | ||
| Donald Keith Balderson | Registered representative | May 2018 (8y) | ||
| Youhong Wang | Registered representative | May 2018 (8y) | ||
| Xiaoqi Ye | Registered representative | Jun 2018 (8y) | ||
| Wen F Lee | Registered representative | Jun 2018 (8y) | ||
| Junwei Liu | Registered representative | Jun 2018 (8y) | ||
| Rama Suryanarayana Appalla | Registered representative | Jun 2018 (8y) | ||
| Stanley Theanhin Tan | Registered representative | Jun 2018 (8y) | ||
| Nathan Lynn Jackman | Registered representative | Jun 2018 (8y) | ||
| Thieu Quang Pham | Registered representative | Jul 2018 (8y) | ||
| Eugene Yim | Registered representative | Jul 2018 (8y) | ||
| Chuong Ha | Registered representative | Aug 2018 (8y) | ||
| Richard William Holmes | Registered representative | Aug 2018 (8y) | ||
| Shaw Wen Yang | Registered representative | Aug 2018 (8y) | ||
| Victor Nelson Lee | Registered representative | Aug 2018 (8y) | ||
| Carl Borres Montano | Registered representative | Sep 2018 (8y) | ||
| Scott David Newson | Registered representative | Sep 2018 (8y) | ||
| Thomas Adam Elsea | Registered representative | Sep 2018 (8y) | ||
| Chen Kin Cheah | Registered representative | Sep 2018 (8y) | ||
| Li Li | Registered representative | Sep 2018 (8y) | ||
| Vijay P Singhal | Registered representative | Oct 2018 (8y) | ||
| Sarojakanta Panda | Registered representative | Oct 2018 (8y) | ||
| Himawan Brasali | Registered representative | Oct 2018 (8y) | ||
| Darius K Jones | Registered representative | Oct 2018 (8y) | ||
| Kenneth Taylor | Registered representative | Oct 2018 (8y) | ||
| Dale Tadao Mizuno | Registered representative | Oct 2018 (8y) | ||
| George Ongwae Onami | Registered representative | Nov 2018 (8y) | ||
| Elena De Molina | Registered representative | Nov 2018 (8y) | ||
| Yuh Jiun Chen | Registered representative | Nov 2018 (8y) | ||
| Kenan Anderson Godfrey | Registered representative | Jan 2019 (8y) | ||
| Ginnie I Nien Chen | Registered representative | Jan 2019 (8y) | ||
| Jianmin Zhao | Registered representative | Jan 2019 (8y) | ||
| Jinping Lin | Registered representative | Jan 2019 (8y) | ||
| Jacky Ka Hiu Tam | Registered representative | Jan 2019 (8y) | ||
| Raymond M Chen | Registered representative | Jan 2019 (8y) | ||
| Ryan Shane Weeks | Registered representative | Feb 2019 (7y) | ||
| Brian Michael Levitan | Registered representative | Feb 2019 (7y) | ||
| Xiu Qin Hou | Registered representative | Mar 2019 (7y) | ||
| Lihua He | Registered representative | Mar 2019 (7y) | ||
| Linghsiang Huang | Registered representative | Mar 2019 (7y) | ||
| Marshall Mckay Nielson | Registered representative | Apr 2019 (7y) | ||
| Cailen Keith Hayes | Registered representative | Apr 2019 (7y) | ||
| Gary Charles Farmer | Registered representative | Apr 2019 (7y) | ||
| Marcus H. Mitchell | Registered representative | May 2019 (7y) | ||
| Yan Zhang | Registered representative | Personal Financial Specialist | May 2019 (7y) | |
| Juan Andres Aguilar | Registered representative | May 2019 (7y) | ||
| Richard Alan Hagins | Registered representative | May 2019 (7y) | ||
| Yang Cai | Registered representative | May 2019 (7y) | ||
| Diego Adrian Conejo | Registered representative | May 2019 (7y) | ||
| Ronald Robert Zimmer | Registered representative | Jun 2019 (7y) | ||
| Mohammed Anwar Bajwa | Registered representative | Jun 2019 (7y) | ||
| Paramjeet Singh | Registered representative | Jun 2019 (7y) | ||
| Connie Rong | Registered representative | Jun 2019 (7y) | ||
| Lisette Mandwee Ndzie | Registered representative | Jul 2019 (7y) | ||
| Ou Xu | Registered representative | Sep 2019 (7y) | ||
| Patrick Kevin Dailey | Registered representative | Sep 2019 (7y) | ||
| Rodney Lee Morgan | Registered representative | Sep 2019 (7y) | ||
| Cynthia Ngoc Bich Hoang | Registered representative | Sep 2019 (7y) | ||
| Dennis Kok Wai Lai | Registered representative | Oct 2019 (7y) | ||
| Reginald Christopher Chandler | Registered representative | Oct 2019 (7y) | ||
| Mark Anthony Nash | Registered representative | Oct 2019 (7y) | ||
| Howard Hughes Qu | Registered representative | Oct 2019 (7y) | ||
| Gerald Lee Kane | Registered representative | Oct 2019 (7y) | ||
| Joseph Okoronta | Registered representative | Dec 2019 (7y) | ||
| Jordan R Hatanaka | Registered representative | Dec 2019 (7y) | ||
| Vikram Raghavendra Kirikera | Registered representative | Jan 2020 (7y) | ||
| Weili Yu | Registered representative | Jan 2020 (7y) | ||
| Austin J Hogan | Registered representative | Jan 2020 (7y) | ||
| Logan Seth Reid Reynoso | Registered representative | Feb 2020 (6y) | ||
| Apekshit Mulay | Registered representative | Feb 2020 (6y) | ||
| Justin Carras | Registered representative | Feb 2020 (6y) | ||
| Sirorat Lertsangpetch | Registered representative | Feb 2020 (6y) | ||
| Harold Kim Jones | Registered representative | Chartered Financial Consultant | Mar 2020 (6y) | |
| Miguelito Deguzman Reyes | Registered representative | Mar 2020 (6y) | ||
| Lynn William Ruff | Registered representative | Mar 2020 (6y) | ||
| Mario Ernesto Moreira | Registered representative | Apr 2020 (6y) | ||
| Lester Baron | Registered representative | Apr 2020 (6y) | ||
| Eric Sean Sirich | Registered representative | May 2020 (6y) | ||
| Fiji George | Registered representative | May 2020 (6y) | ||
| Richard Anthony Hansen | Registered representative | May 2020 (6y) | ||
| Dali Fu | Registered representative | Jun 2020 (6y) | ||
| Daniel Ricardo Duarte | Registered representative | Jun 2020 (6y) | ||
| Adam David Moskowitz | Registered representative | Jun 2020 (6y) | ||
| Cameron V Berry | Registered representative | Jun 2020 (6y) | ||
| Paul Engelbert | Registered representative | Jun 2020 (6y) | ||
| Michael Joseph Coleman | Registered representative | Jul 2020 (6y) | ||
| Ge Chen | Registered representative | Jul 2020 (6y) | ||
| Carroll A Beeson | Registered representative | Aug 2020 (6y) | ||
| Sudheer Indala | Registered representative | Aug 2020 (6y) | ||
| Ryan Agung Wibawa | Registered representative | Aug 2020 (6y) | ||
| Michael Mastillo | Registered representative | Sep 2020 (6y) | ||
| Yuanfang Jiao | Registered representative | Sep 2020 (6y) | ||
| Qi Dong | Registered representative | Sep 2020 (6y) | ||
| Ronald Edward Wilson | Registered representative | Chartered Financial Consultant | Sep 2020 (6y) | |
| Su Yu | Registered representative | Sep 2020 (6y) | ||
| Helena Mew | Registered representative | Oct 2020 (6y) | ||
| Yoga L Gudivada | Registered representative | Oct 2020 (6y) | ||
| Wen Hui Ma | Registered representative | Oct 2020 (6y) | ||
| Tracy Elizabeth Sula Wang | Registered representative | Oct 2020 (6y) | ||
| Joseph Kizer | Registered representative | Nov 2020 (6y) | ||
| Jacqueline Renee Roman | Registered representative | Nov 2020 (6y) | ||
| John Michael Belanger | Registered representative | Nov 2020 (6y) | ||
| John Henry Bingham | Registered representative | Nov 2020 (6y) | ||
| Gregory L. Greenwood | Registered representative | Nov 2020 (6y) | ||
| Yiding Lei | Registered representative | Nov 2020 (6y) | ||
| Robbie Paul Day | Registered representative | Dec 2020 (6y) | ||
| John C Kaine | Registered representative | Dec 2020 (6y) | ||
| Carlos Di Ponio | Registered representative | Dec 2020 (6y) | ||
| Tyrone Frank Van Aswegen | Registered representative | Jan 2021 (6y) | ||
| Evelyn Meiman Chou Liu | Registered representative | Jan 2021 (6y) | ||
| Pornpimol Vimuktayon Park | Registered representative | Jan 2021 (6y) | ||
| Anupama Singh | Registered representative | Feb 2021 (6y) | ||
| Suparna Dutta | Registered representative | Feb 2021 (6y) | ||
| Angelica Betancourt | Registered representative | Feb 2021 (5y) | ||
| Laura Elaine Williams | Registered representative | Feb 2021 (5y) | ||
| Rola Zarife | Registered representative | Feb 2021 (5y) | ||
| Jeffrey Lee Stone | Registered representative | Feb 2021 (5y) | ||
| Steven Jace Garside | Registered representative | Feb 2021 (5y) | ||
| Aylien Alexani | Registered representative | Feb 2021 (5y) | ||
| Peter Lep Young | Registered representative | Mar 2021 (5y) | ||
| Nitame Thomas | Registered representative | Mar 2021 (5y) | ||
| John Medeiros | Registered representative | Mar 2021 (5y) | ||
| David Kim Anderson | Registered representative | Mar 2021 (5y) | ||
| Stephanie Wenqi Zheng | Registered representative | Mar 2021 (5y) | ||
| Kevin Forrest Brunkow | Registered representative | Mar 2021 (5y) | ||
| Mark William Redman | Registered representative | Mar 2021 (5y) | ||
| Diana W Yang | Registered representative | Mar 2021 (5y) | ||
| Weicheng William Feng | Registered representative | Apr 2021 (5y) | ||
| Gary Adam Davis | Registered representative | Apr 2021 (5y) | ||
| James Arthur Hull | Registered representative | Apr 2021 (5y) | ||
| Minhua Shao | Registered representative | Apr 2021 (5y) | ||
| Janice Ngoc Tran Vuong | Registered representative | Apr 2021 (5y) | ||
| Jason Baldia Nunez | Registered representative | Apr 2021 (5y) | ||
| Jenny D. Cao | Registered representative | May 2021 (5y) | ||
| Paul Cheng | Registered representative | May 2021 (5y) | ||
| Richard Michael Edwards | Registered representative | May 2021 (5y) | ||
| Brian William Batter | Registered representative | May 2021 (5y) | ||
| Angel Vidal | Registered representative | May 2021 (5y) | ||
| Danling Cao | Registered representative | May 2021 (5y) | ||
| Jiayu Huang | Registered representative | May 2021 (5y) | ||
| Robert Paul | Registered representative | May 2021 (5y) | ||
| Carol A. Rosenstock | Registered representative | Jun 2021 (5y) | ||
| George T Specht | Registered representative | Jun 2021 (5y) | ||
| Judy Fong | Registered representative | Jun 2021 (5y) | ||
| Edward M Peterson | Registered representative | Jun 2021 (5y) | ||
| Lelian Solip | Registered representative | Jun 2021 (5y) | ||
| Andrea Carson | Registered representative | Jun 2021 (5y) | ||
| Joyce Ghu | Registered representative | Jun 2021 (5y) | ||
| Charisma Lariosa | Registered representative | Jul 2021 (5y) | ||
| John Paul Novello | Registered representative | Jul 2021 (5y) | ||
| Sze Wan Lee | Registered representative | Jul 2021 (5y) | ||
| James Eugene Reiner | Registered representative | Jul 2021 (5y) | ||
| Deanne Argyle | Registered representative | Aug 2021 (5y) | ||
| Rosalie Cox | Registered representative | Aug 2021 (5y) | ||
| Katrina C. Luca | Registered representative | Aug 2021 (5y) | ||
| Sophia Laohasongkram | Registered representative | Aug 2021 (5y) | ||
| Wei Wang | Registered representative | Aug 2021 (5y) | ||
| Olivia En Chia Ong | Registered representative | Aug 2021 (5y) | ||
| Terry Scott Mulhern | Registered representative | Sep 2021 (5y) | ||
| Jing Wu | Registered representative | Sep 2021 (5y) | ||
| Li Li Chan | Registered representative | Sep 2021 (5y) | ||
| June Liao | Registered representative | Sep 2021 (5y) | ||
| Jianmin Qi | Registered representative | Oct 2021 (5y) | ||
| Shawn Green | Registered representative | Oct 2021 (5y) | ||
| Eric Todd Harris | Registered representative | Oct 2021 (5y) | ||
| Vi Quang Lieu | Registered representative | Oct 2021 (5y) | ||
| Long T Hoang | Registered representative | Nov 2021 (5y) | ||
| Clarissia Novell Skinner | Registered representative | Dec 2021 (5y) | ||
| Xianli Zhou | Registered representative | CFP | Dec 2021 (5y) | |
| Xiaodong Wu | Registered representative | Jan 2022 (5y) | ||
| Xiao Lin | Registered representative | CFP | Jan 2022 (5y) | |
| Tianning Li | Registered representative | CFP | Jan 2022 (5y) | |
| Lihua Zhu | Registered representative | Jan 2022 (5y) | ||
| Brian Neil Schiavo | Registered representative | Feb 2022 (4y) | ||
| Hamid Hanifi | Registered representative | Feb 2022 (4y) | ||
| Eunjoo Kim | Registered representative | Feb 2022 (4y) | ||
| Yi Huang | Registered representative | Feb 2022 (4y) | ||
| Alan R Wilde | Registered representative | Feb 2022 (4y) | ||
| Michael Edward Sparrow | Registered representative | Feb 2022 (4y) | ||
| Bincheng Wang | Registered representative | Feb 2022 (4y) | ||
| Shengying Li | Registered representative | CFP | Feb 2022 (4y) | |
| Yong Sheng Chen | Registered representative | Mar 2022 (4y) | ||
| Ashley Tilden Whittaker | Registered representative | Mar 2022 (4y) | ||
| Jack Hanson | Registered representative | Mar 2022 (4y) | ||
| Meizhen Chen | Registered representative | Mar 2022 (4y) | ||
| Lu Bo | Registered representative | Mar 2022 (4y) | ||
| Eric Khang Doan | Registered representative | Mar 2022 (4y) | ||
| Yu Huang Lee | Registered representative | CFA | Mar 2022 (4y) | |
| Ka Leung Lee | Registered representative | Mar 2022 (4y) | ||
| John Damien Withers | Registered representative | Mar 2022 (4y) | ||
| Stephen James Short | Registered representative | Mar 2022 (4y) | ||
| Daniel Brown | Registered representative | Mar 2022 (4y) | ||
| Aileen M Dizon | Registered representative | Apr 2022 (4y) | ||
| Jun Tang | Registered representative | Apr 2022 (4y) | ||
| Matthew John Short | Registered representative | Apr 2022 (4y) | ||
| Jinyu Shi | Registered representative | Apr 2022 (4y) | ||
| Sylvester Akpan | Registered representative | Apr 2022 (4y) | ||
| Janet G Sabio | Registered representative | Apr 2022 (4y) | ||
| Janet Herdman Dukes | Registered representative | CFP | Apr 2022 (4y) | |
| Guy Henry Thomas | Registered representative | Chartered Financial Consultant | Apr 2022 (4y) | |
| Cam Liang | Registered representative | CFP | May 2022 (4y) | |
| Tessa Besio | Registered representative | May 2022 (4y) | ||
| Timothy Devon Hardy | Registered representative | May 2022 (4y) | ||
| Darren Evan Zielinski | Registered representative | May 2022 (4y) | ||
| Karla Irene Knox | Registered representative | May 2022 (4y) | ||
| Davis Zhen | Registered representative | May 2022 (4y) | ||
| Mary Tiffany Early | Registered representative | May 2022 (4y) | ||
| Fang Moore | Registered representative | Jun 2022 (4y) | ||
| Alec Tran | Registered representative | Jun 2022 (4y) | ||
| Julius Reyes | Registered representative | Jun 2022 (4y) | ||
| Larry Edgar Lutz | Registered representative | Jun 2022 (4y) | ||
| Alec Bing Marshak | Registered representative | Jun 2022 (4y) | ||
| Lan Ge | Registered representative | Jun 2022 (4y) | ||
| James Francis Reyes | Registered representative | Jul 2022 (4y) | ||
| Akira Ogasawara | Registered representative | Jul 2022 (4y) | ||
| Katrina Reyes Rollan | Registered representative | Jul 2022 (4y) | ||
| Liwen Li | Registered representative | Jul 2022 (4y) | ||
| Tana Hausch | Registered representative | Jul 2022 (4y) | ||
| Christina N Guevara | Registered representative | Jul 2022 (4y) | ||
| Paul D Flatt | Registered representative | Jul 2022 (4y) | ||
| Frank Heng Yang | Registered representative | Aug 2022 (4y) | ||
| Reuben Philip Daniel | Registered representative | Aug 2022 (4y) | ||
| Jeffrey M Wolfrey | Registered representative | Aug 2022 (4y) | ||
| Joseph Nathan Garcia | Registered representative | Sep 2022 (4y) | ||
| Racquel Roxann Ramlal Slawinski | Registered representative | Sep 2022 (4y) | ||
| Valerie Gomes | Registered representative | Sep 2022 (4y) | ||
| Teng V Dante | Registered representative | Sep 2022 (4y) | ||
| Rodney Eugene Clark | Registered representative | Sep 2022 (4y) | ||
| Yun Ma | Registered representative | Sep 2022 (4y) | ||
| Zhasmen Atamyan | Registered representative | Oct 2022 (4y) | ||
| Ying Shi | Registered representative | Oct 2022 (4y) | ||
| Ashok R Patel | Registered representative | Oct 2022 (4y) | ||
| Jer Sheng Jason Chen | Registered representative | Nov 2022 (4y) | ||
| Juan Yu | Registered representative | Nov 2022 (4y) | ||
| Robin Jay Bundy | Registered representative | Jan 2023 (4y) | ||
| Yucheng Huang | Registered representative | CFP | Jan 2023 (4y) | |
| Nichole L Dorch Cannon | Registered representative | Jan 2023 (4y) | ||
| Lisa Ann Cottrell | Registered representative | Jan 2023 (4y) | ||
| Wen Shi | Registered representative | Jan 2023 (4y) | ||
| Tingting Huang | Registered representative | Jan 2023 (4y) | ||
| Carl David Kennedy | Registered representative | Jan 2023 (4y) | ||
| Zhimin Ou | Registered representative | Jan 2023 (4y) | ||
| Victor Wallace Champney | Registered representative | Jan 2023 (4y) | ||
| Lisa Chalker | Registered representative | Jan 2023 (4y) | ||
| Holly Williamson | Registered representative | Jan 2023 (4y) | ||
| Christopher M Risko | Registered representative | Feb 2023 (4y) | ||
| Dakota Lo Ray Best | Registered representative | Feb 2023 (4y) | ||
| Shakeeb H Syed | Registered representative | Feb 2023 (4y) | ||
| Marques Guy | Registered representative | Feb 2023 (3y) | ||
| Francis Dennis Demeno | Registered representative | Feb 2023 (3y) | ||
| Joshua M Ayers | Registered representative | Feb 2023 (3y) | ||
| Boureima Diallo | Registered representative | CFP | Feb 2023 (3y) | |
| Gopinath P Chandra | Registered representative | Feb 2023 (3y) | ||
| Qixia Ensberg | Registered representative | Feb 2023 (3y) | ||
| Candida Juanita Hinton | Registered representative | Feb 2023 (3y) | ||
| Dequan Tian | Registered representative | Feb 2023 (3y) | ||
| Ryan Wang | Registered representative | Feb 2023 (3y) | ||
| Eric Bautista Somodio | Registered representative | Mar 2023 (3y) | ||
| Michelle Dean Whitlock | Registered representative | Mar 2023 (3y) | ||
| Yang Xu | Registered representative | Mar 2023 (3y) | ||
| Neeley Ashton John | Registered representative | Apr 2023 (3y) | ||
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| Dan Chang | Registered representative | Jun 2023 (3y) | ||
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| Mark Hunter | Registered representative | Aug 2023 (3y) | ||
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| Daniel Lanskey | Registered representative | Aug 2023 (3y) | ||
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| Stephen Thomas Gregg | Registered representative | CFP | Aug 2023 (3y) | |
| John Michael Twomey | Registered representative | Aug 2023 (3y) | ||
| Jolene Kay Henn | Registered representative | Sep 2023 (3y) | ||
| Tanni J. Gibson | Registered representative | Sep 2023 (3y) | ||
| Nathan Schroeder | Registered representative | Oct 2023 (3y) | ||
| Yahong Yi | Registered representative | Oct 2023 (3y) | ||
| Dionysis Nicholas Heliotis | Registered representative | Oct 2023 (3y) | ||
| David Carson | Registered representative | Oct 2023 (3y) | ||
| Sathita Kerdpongvanich | Registered representative | Oct 2023 (3y) | ||
| Adam Leigh Levine Weinberg | Registered representative | CFA | Nov 2023 (3y) | |
| Omkar Shinde | Registered representative | Nov 2023 (3y) | ||
| Anton Joseph Halka | Registered representative | Dec 2023 (3y) | ||
| Nicole Gale Adesina | Registered representative | Dec 2023 (3y) | ||
| Michael Keith Paul | Registered representative | Dec 2023 (3y) | ||
| Leena Gupta | Registered representative | Jan 2024 (3y) | ||
| David Wright | Registered representative | Jan 2024 (3y) | ||
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| John Oluwatoun Collins | Registered representative | Jan 2024 (3y) | ||
| Gosby King | Registered representative | Jan 2024 (3y) | ||
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| Michael Danielski | Registered representative | Mar 2024 (2y) | ||
| Jade Nicole Chang | Registered representative | Mar 2024 (2y) | ||
| I Shiuan Lee | Registered representative | Mar 2024 (2y) | ||
| Emelia Adutwumwaa Sarbeng | Registered representative | Apr 2024 (2y) | ||
| Andre Muhammad | Registered representative | Chartered Financial Consultant | Apr 2024 (2y) | |
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| Bernard Kankam Mensah | Registered representative | Personal Financial Specialist | Sep 2025 (1y) | |
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| Jeffrey Du | Registered representative | Sep 2025 (1y) | ||
| Marcia Cornwell | Registered representative | Sep 2025 (1y) | ||
| Olaf Boris Kinstler | Registered representative | CFP | Sep 2025 (1y) | |
| Sherif Abdel Ghaffar | Registered representative | Oct 2025 (1y) | ||
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| Abel Wen Hwa Kan | Registered representative | Jan 2026 (1y) | ||
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| Marek Marian Klincewicz | Registered representative | Jan 2026 (1y) | ||
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| Hao Lu | Registered representative | Jan 2026 (1y) | ||
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| Blake C Hopkins | Registered representative | Feb 2026 (1y) | ||
| Donald Cedric Davies | Registered representative | Feb 2026 (1y) | ||
| Yusuf Adewale Gbadamosi | Registered representative | Feb 2026 (0y) | ||
| William Ray Maynard | Registered representative | Feb 2026 (0y) | ||
| Brennen Michael Hess | Registered representative | Feb 2026 (0y) | ||
| Earl Martin Sawit Valencia | Registered representative | Feb 2026 (0y) | ||
| Nicole Selman | Registered representative | Feb 2026 (0y) | ||
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| Dale Harden Caddick | Registered representative | Feb 2026 (0y) | ||
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| Karen Kyungsuk Ahn | Registered representative | Feb 2026 (0y) | ||
| Jin Kyung Kim Hymers | Registered representative | Feb 2026 (0y) | ||
| Juei Hua Chang | Registered representative | CFP | Feb 2026 (0y) | |
| Duane A Holt | Registered representative | Feb 2026 (0y) | ||
| Marc Anthony Haiar | Registered representative | CFA | Feb 2026 (0y) | |
| Masayuki Nakayama | Registered representative | Mar 2026 (0y) | ||
| Michael B Ewing | Registered representative | Mar 2026 (0y) | ||
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| Aaron Amador | Registered representative | Mar 2026 (0y) | ||
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| Jayna Marie Todisco | Registered representative | Apr 2026 (0y) | ||
| Dang Thanh Nguyen | Registered representative | Apr 2026 (0y) | ||
| Di Lu | Registered representative | Apr 2026 (0y) | ||
| Deanna Rene Lewis | Registered representative | Chartered Financial Consultant | Apr 2026 (0y) | |
| James Collins | Registered representative | Apr 2026 (0y) | ||
| Jeffery Donahou | Registered representative | Apr 2026 (0y) | ||
| Joy Michelle Abbott Mc Murchy | Registered representative | Apr 2026 (0y) | ||
| Wei Lu | Registered representative | May 2026 (0y) | ||
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| Chen Chao Fang | Registered representative | May 2026 (0y) | ||
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| Holly Crystal Brauer | Registered representative | May 2026 (0y) | ||
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| Eric Min Wang | Registered representative | May 2026 (0y) | ||
| Hao Wu | Registered representative | May 2026 (0y) | ||
| David Charles Williams | Registered representative | May 2026 (0y) | ||
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| Ryan P Murphy | Registered representative | May 2026 (0y) | ||
| Paula Juszczyk | Registered representative | May 2026 (0y) | ||
| David Joseph Le | Registered representative | May 2026 (0y) | ||
| Keith Jackson | Registered representative | Jun 2026 (0y) | ||
| Hector Hernandez | Registered representative | Jun 2026 (0y) | ||
| Eliot James Passy Tolar | Registered representative | Jun 2026 (0y) | ||
| Juniwati Katopo | Registered representative | Jun 2026 (0y) | ||
| Shayna Deal | Registered representative | Jun 2026 (0y) | ||
| Natalie Monique Plant | Registered representative | Jun 2026 (0y) | ||
| Catherine Cheng | Registered representative | Jun 2026 (0y) | ||
| Clement Woo | Registered representative | Jun 2026 (0y) | ||
| Joshua Reynolds | Registered representative | Jun 2026 (0y) | ||
| Chun Hao Chen | Registered representative | Jun 2026 (0y) | ||
| Victoria Valentina Luzardo Ocando | Registered representative | Jun 2026 (0y) | ||
| Yali Pan Sheneman | Registered representative | Jun 2026 (0y) | ||
| Connor Santry | Registered representative | Jun 2026 (0y) | ||
| Jerry Wayne Carden | Registered representative | CFP | Jun 2026 (0y) | |
| Jameel Muhammad | Registered representative | Jul 2026 (0y) | ||
| Steven Clifford Whiting Ii | Registered representative | Jul 2026 (0y) | ||
| Zhijun Huang | Registered representative | Jul 2026 (0y) | ||
| Michael John Russo | Registered representative | Jul 2026 (0y) | ||
| Dian Zang | Registered representative | Jul 2026 (0y) | ||
| Kanwar Preet Takhtar | Registered representative | Jul 2026 (0y) | ||
| Tamekia Fallin | Registered representative | Jul 2026 (0y) | ||
| Shane Mahadeo | Registered representative | Jul 2026 (0y) | ||
| Sachit Anand Muduli | Registered representative | Jul 2026 (0y) | ||
| Albert C Smith | Registered representative | Jul 2026 (0y) | ||
| Zhengrong Sandra Wang | Registered representative | CFP | Jul 2026 (0y) |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Ausa Holding, Llc | Owner | Feb 1991 | A | 50% – 75% |
| Aegon Asset Management Services, Inc. | Owner | Jan 2012 | A | 25% – 50% |
| Commonwealth General Corporation | Owner | Sep 2015 | A | 10% – 25% |
| Aegon Nv | Owner | Feb 1991 | B | ≈ 21.09% – 75% via Aegon International B.V. |
| Transamerica Corporation | Owner | Oct 1999 | B | ≈ 37.5% – 75% via Ausa Holding, Llc |
| Aegon International B.V. | Trustee | Feb 1991 | B | ≈ 28.13% – 75% via Transamerica Corporation |
Undisclosed: 0% – 15% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Aegon Nv: 75% – 100% of Aegon International B.V. × 75% – 100% of Transamerica Corporation × 75% – 100% of Ausa Holding, Llc × 50% – 75% direct ≈ 21.09% – 75% of the firm
- Transamerica Corporation: 75% – 100% of Ausa Holding, Llc × 50% – 75% direct ≈ 37.5% – 75% of the firm
- Aegon International B.V.: 75% – 100% of Transamerica Corporation × 75% – 100% of Ausa Holding, Llc × 50% – 75% direct ≈ 28.13% – 75% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| The Priority Center 403(b) Plan | The Priority Center, Ending The Cycle Of Generational Trauma | 86 | $2.4M | 07/01/2024 |
| Tx Team Rehab, Inc. 401(k) Profit Sharing Plan | Tx Team Rehab, Inc. | 172 | $9.3M | 01/01/2024 |
| St. Joseph Center 403(b) Plan | St. Joseph Center | 320 | $5.2M | 01/01/2024 |
| Epes Transport System 401(k) Retirement Plan | Epes Transport System, Llc | 1,315 | $34.4M | 01/01/2024 |
| True Leaf 401(k) Plan | True Leaf Llc | 160 | $2.0M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 1.96 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Regulatory · Item 11.E(2)
as of Aug 28, 2024
Allegations: THE COMMISSION ALLEGES, AMONG OTHER THINGS, THAT WFG SECURITIES OF CANADA ("WFG") APPROVED, OR FAILED TO DETECT, THE INAPPROPRIATE USE OF LEVERAGED ACCOUNTS, FAILED TO SUPERVISE MANAGERS IN CONNECTION WITH THEIR SUPERVISION OF TRADING ACTIVITY, MADE DEFICIENT NRC FILINGS, AND FAILED TO MAINTAIN CURRENT RECORDS. Status: Final Sanction Detail: (1) A VOLUNTARY PAYMENT TO THE MINISTER OF FINANCE OF MANITOBA IN THE AMOUNT OF $250,000; (2) A CONTRIBUTION PAYMENT TO COSTS IN THE AMOUNT OF $20,000; AND (3) WFG AGREED TO DEAL FAIRLY, HONESTLY, AND IN GOOD FAITH, WITH ANY CLIENT WITH A LEVERAGE ACCOUNT. PAYMENT DATE WAS 09/23/2016.
Regulatory · Item 11.E(1), 11.E(2)
as of Aug 28, 2024
Allegations: FINRA ALLEGED THAT TRANSAMERICA FINANCIAL ADVISORS, INC. VIOLATED FINRA RULES 1122 AND 2010 BY FILING AN INACCURATE FORM U5 AND A MISLEADING AND INACCURATE AMENDED FORM U5 WITH FINRA. Status: Final Sanction Detail: THE FIRM IS CENSURED AND FINED $50,000. Summary: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FILED WITH FINRA AN INACCURATE FORM U5 ON BEHALF OF A FORMER REGISTERED REPRESENTATIVE THAT FAILED TO DISCLOSE THAT THE REPRESENTATIVE HAD BEEN CHARGED WITH A FELONY PRIOR TO HER TERMINATION. THE FINDINGS STATED THAT THE REPRESENTATIVE WAS CHARGED WITH A FELONY DURING THE PERIOD OF HER EMPLOYMENT AND REGISTRATION WITH THE FIRM, AND THE FIRM WAS AWARE OF THIS INFORMATION DURING HER EMPLOYMENT. THE FINDINGS ALSO STATED THAT THE FIRM FILED WITH FINRA AN INACCURATE AND MISLEADING AMENDED FORM U5 FOR THE SAME REPRESENTATIVE THAT STATED THAT SHE HAD NOT BEEN CHARGED WITH A FELONY PRIOR TO HER TERMINATION AND THAT SHE HAD NOT DISCLOSED HER ARREST AT THE TIME OF HER RESIGNATION.
Regulatory · Item 11.D(2)
as of Aug 28, 2024
Allegations: THE STATE OF FLORIDA FOUND THAT TRANSAMERICA FINANCIAL ADVISORS, INC. (TFA) F/K/A INTERSECURITIES, INC. FAILED TO REASONABLY SUPERVISE MICHAEL TRAYNOR, AN ASSOCIATED PERSON, IN VIOLATION OF SECTION 517.161(1)(H) FLORIDA STATUTES AND RULE 69W-600.013(1)(H)1 FLORIDA ADMINISTRATIVE CODE. Status: Final Sanction Detail: WITHOUT ADMITTING OR DENYING THE FINDINGS, TFA ENTERED INTO A STIPULATION AND CONSENT AGREEMENT WITH, AND PAID AN ADMINISTRATIVE FINE OF $50,000.00 TO THE STATE OF FLORIDA. Summary: THE STATE OF FLORIDA FOUND THAT TRANSAMERICA FINANCIAL ADVISORS, INC. (TFA) F/K/A INTERSECURITIES, INC. FAILED TO REASONABLY SUPERVISE MICHAEL TRAYNOR, AS ASSOCIATED PERSON, IN VIOLATION OF SECTION 517.161(1)(H) FLORIDA STATUTES AND RULE 69W-600.013(1)(H)1 FLORIDA ADMINISTRATIVE CODE. WITHOUT ADMITTING OR DENYING THE FINDINGS, TFA ENTERED INTO A STIPULATION AND CONSENT AGREEMENT WITH AND PAID AN ADMINISTRATIVE FINE OF $50,000.00 TO THE STATE OF FLORIDA.
Regulatory
as of Aug 28, 2024
Allegations: THE SEC ALLEGED THAT TFA FAILED TO ADEQUATELY DISCLOSE IN ITS FORM ADV OR ELSEWHERE THE CONFLICTS OF INTEREST RELATED TO A) ITS RECEIPT OF 12B-1 FEES AND/OR B) ITS SELECTION OF MUTUAL FUNDS SHARE CLASSES THAT PAY SUCH FEES. TFA SELF-REPORTED THIS MATTER TO THE SEC PURSUANT TO THE SEC DIVISION OF ENFORCEMENT'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE. Status: Final Sanction Detail: PURSUANT TO THE TERMS OF THE ORDER, TFA HAS PAID A TOTAL OF $6,023,072.68 INTO A DISTRIBUTION FUND FOR PAYMENT TO INVESTORS. THIS AMOUNT INCLUDES $5,364,292.04 IN DISGORGEMENT AND $658,780.64 IN PREJUDGMENT INTEREST. Summary: ON MARCH 11, 2019, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") SIGNED AN ORDER INSTITUTING ADMINISTRATIVE AND CEASE-AND-DESIST PROCEEDINGS, PURSUANT TO SECTIONS 203(E) AND 203(K) OF THE INVESTMENT ADVISERS ACT OF 1940, MAKING FINDINGS, AND IMPOSING REMEDIAL SANCTIONS AND A CEASE-AND-DESIST ORDER ("ORDER") RELATING TO TFA'S DISCLOSURE OF ITS MUTUAL FUND SHARE CLASS SELECTION PRACTICES AND THE 12B-1 FEES TFA AND ITS ASSOCIATED PERSONS RECEIVED. SPECIFICALLY, THE SEC ALLEGED THAT TFA FAILED TO ADEQUATELY DISCLOSE IN ITS FORM ADV OR ELSEWHERE THE CONFLICTS OF INTEREST RELATED TO A) ITS RECEIPT OF 12B-1 FEES AND/OR B) ITS SELECTION OF MUTUAL FUNDS SHARE CLASSES THAT PAY SUCH FEES. TFA SELF-REPORTED THIS MATTER TO THE SEC PURSUANT TO THE SEC DIVISION OF ENFORCEMENT'S SHARE CLASS SELECTION DISCLOSURE INITIATIVE. TFA HAS SETTLED THIS MATTER WITH THE SEC. THE FIRM AGREED TO A CENSURE, TO PAY DISGORGEMENT OF $5,364,292.04 PLUS $658,780.64 IN INTEREST, AND TO CEASE AND DESIST FROM VIOLATING CERTAIN SECURITIES LAWS AND REGULATIONS. THE DISGORGEMENT AND INTEREST WILL BE PAID TO A DISTRIBUTION FUND ("FUND") FOR PAYMENT TO INVESTORS WHO PURCHASED OR HELD 12B-1 FEE PAYING SHARE CLASS MUTUAL FUNDS IN ADVISORY ACCOUNTS WHEN A LOWER-COST SHARE CLASS OF THE SAME FUND WAS AVAILABLE TO THE CLIENT. THE ORDER STATES THAT THESE INVESTORS ARE TO RECEIVE FROM THE FUND THE 12B-1 FEES ATTRIBUTABLE TO THE INVESTOR DURING THE RELEVANT PERIOD, PLUS INTEREST, SUBJECT TO A DE MINIMIS THRESHOLD.
Regulatory
as of Aug 28, 2024
Allegations: ON AUGUST 27,2018, THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") INSTITUTED A SETTLED PUBLIC ADMINSTRATIVE AND CEASE-AND-DESIST PROCEEDING AGAINST AEGON USA INVESTMENT MANAGEMENT, LLC ("AUIM"), TRANSAMERICA ASSET MANAGEMENT, INC., TRANSAMERICA CAPITAL, INC., AND TRANSMERICA FINANCIAL ADVISORS, INC. ("TFA") AS TO TFA, THE COMMISSION FOUND THAT BETWEEN JULY 2011 AND JUNE 2015, TFA VIOLATED THE FEDERAL SECURITIES LAWS AND RULES THEREUNDER WHILE SELLING CERTAIN SEPARATELY MANAGED ACCOUNT PROGRAMS. Status: Final Sanction Detail: PURSUANT TO THE TERMS OF THE ORDER, TFA HAS PAID A TOTAL OF $2,785,000 INTO A SETTLEMENT FUND, WHICH AMOUNT INCLUDES A PENALTY OF $800,000, DISGORGEMENT OF $1,700,000 AND PRE-JUDGMENT INTEREST OF $258,000 Summary: ON AUGUST 27, 2018 THE SECURITIES AND EXCHANGE COMMISSION ("COMMISSION") ISSUED A SETTLED ORDER INSTITUTING ADMINSTRATIVE AND CEASE-AND-DESIST PROCEEDSINGS AGAINST AEGON USA INVESTMENT MANAGEMENT, LLC (AUIM), TRANSAMERICA ASSET MANAGEMENT, INC., TRANSAMERICA CAPITAL INC. AND TRANSAMERICA FINANCIAL ADVISORS, INC. (TFA) AS TO TFA, THE COMMISSION FOUND THAT BETWEEN JULY 2011 AND JUNE 2015, TFA VIOLATED THE FEDERAL SECURITIES LAWS AND RULES THEREUNDER WHILE SELLING CERTAIN SEPARATELY MANAGED ACCOUNT PROGRAMS. WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, TFA CONSENTED TO A CENSURE AND AGREED TO PAY DISGORGEMENT, PRE-JUDGMENT INTEREST AND A CIVIL PENALTY.
Regulatory
as of Aug 28, 2024
Allegations: TFA, A REGISTERED INVESTMENT ADVISOR AND BROKER-DEALER, FAILED TO APPLY ADVISORY FEE DISCOUNTS TO CERTAIN RETAIL CLIENTS IN SEVERAL OF ITS ADVISORY FEE PROGRAMS CONTRARY TO ITS DISCLOSURES TO CLIENTS AND ITS POLICIES AND PROCEDURES. Status: Final Sanction Detail: TFA SHALL, WITHIN TEN (10) DAYS OF THE ENTRY OF THIS ORDER, PAY A CIVIL MONEY PENALTY IN THE AMOUNT OF $553,624 TO THE SECURITIES AND EXCHANGE COMMISSION. Summary: TFA SHALL COMPLY WITH THE UNDERTAKINGS OF THIS ORDER WITH RESPECT TO RETAINING THE SERVICES OF AN INDEPENDENT COMPLIANCE CONSULTANT FOR REVIEWS TO BE MADE BY THE INDEPENDENT CONSULTANT AS DESCRIBED IN THIS ORDER. WITHIN THIRTY (30) DAYS AFTER THE ENTRY OF THIS ORDER, THE INDEPENDENT CONSULTANT SHALL SUBMIT A WRITTEN AND DATED REPORT OF ITS FINDINGS TO TFA AND TO THE COMMISSION STAFF. TFA SHALL ADOPT ALL RECOMMENDATIONS CONTAINED IN THE REPORT WITHIN SIXTY (60) DAYS OF THE REPORT; PROVIDED, HOWEVER, THAT WITHIN THIRTY (30) DAYS AFTER THE DATE OF THE REPORT, TFA SHALL IN WRITING ADVISE THE INDEPENDENT CONSULTANT AND THE COMMISSION STAFF OF ANY RECOMMENDATIONS THAT TFA CONSIDERS TO BE UNDULY BURDENSOME, IMPRACTICAL, OR INAPPROPRIATE.
Regulatory · Item 11.E(2)
as of Aug 28, 2024
Allegations: FINRA ALLEGED THAT INTERSECURITIES, INC./TRANSAMERICA FINANCIAL ADVISORS, INC. VIOLATED NASD CONDUCT RULES 3010 AND 2110 BECAUSE IT DID NOT CONDUCT ADEQUATE DUE DILIGENCE IN THE STOCK TO CASH MARKETING PROGRAM, IT ERRONEOUSLY DETERMINED THAT PROGRAM WAS NOT A SECURITIES PRODUCT, AND IT FAILED TO SUPERVISE THE PARTICIPATION OF AT LEAST 5 REGISTERED REPRESENTATIVES IN THE PROGRAM. Status: Final Sanction Detail: TRANSAMERICA FINANCIAL ADVISORS, INC. PAID THE FINE OF $50,000.00 ON JANUARY 3, 2011. Summary: ON OCTOBER 25, 2010, INTERSECURITIES, INC./TRANSAMERICA FINANCIAL ADVISORS, INC., WITHOUT ADMITTING OR DENYING FINRA'S ALLEGATIONS, AGREED TO THE FOLLOWING: A) CONSENTED TO THE ENTRY OF FINDINGS THAT THE FIRM VIOLATED CERTAIN FINRA RULES AS SET FORTH IN ITEM 7 ABOVE; B) PAY THE IMPOSED FINE; C) PROVIDE CERTIFICATION OF ITS REVIEW OF ITS POLICIES, SYSTEMS AND PROCEDURES THAT PERTAIN TO IDENTIFYING PRODUCTS THAT ARE SECURITIES; AND D) PROVIDE A WRITTEN DESCRIPTION OF THESE POLICIES, SYSTEMS AND PROCEDURES. FINRA ACCEPTED THE AWC ON DECEMBER 21, 2010.
Regulatory · Item 11.E(2)
as of Aug 28, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO IDENTIFY AND APPLY VOLUME DISCOUNTS TO CERTAIN CUSTOMERS' ELIGIBLE PURCHASES OF NON-TRADED REAL ESTATE INVESTMENT TRUSTS (REITS) AND BUSINESS DEVELOPMENT COMPANIES (BDCS), RESULTING IN CUSTOMERS PAYING EXCESSIVE SALES CHARGES OF APPROXIMATELY $51,000. ALSO, THE FIRM FAILED TO ESTABLISH, MAINTAIN AND ENFORCE A SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY SYSTEM AND WRITTEN SUPERVISORY PROCEDURES WITH RESPECT TO THE SALE OF NON-TRADED REITS AND BDCS. THE FIRM DID NOT HAVE PROCEDURES IN PLACE REASONABLY DESIGNED TO IDENTIFY ACCOUNTS THAT WOULD BE ELIGIBLE FOR VOLUME DISCOUNTS. THE FIRM RELIED ON ITS ASSOCIATED PERSONS TO ENSURE ITS CUSTOMERS RECEIVED THE VOLUME DISCOUNTS TO WHICH THEY WERE ENTITLED, BUT FAILED TO PROVIDE ADEQUATE GUIDELINES, INSTRUCTIONS OR POLICIES FOR ITS ASSOCIATED PERSONS AND SUPERVISORS TO FOLLOW TO DETERMINE WHETHER A CUSTOMER'S PURCHASE QUALIFIED FOR A VOLUME DISCOUNT AND TO ENSURE THAT THE CUSTOMER WAS MADE AWARE OF THE AVAILABLE DISCOUNT. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $85,000, AND ORDERED TO PAY RESTITUTION IN THE AMOUNT OF $51,066.08 (PLUS INTEREST) TO CUSTOMERS. Summary: IN ADDITION TO THE CENSURE, FINE AND RESTITUTION, THE FIRM WAS ORDERED TO CERTIFY THAT IT HAS CORRECTED ITS SYSTEMS AND PROCEDURES WITH RESPECT TO THE SALE OF NON-TRADED REAL ESTATE INVESTMENT TRUSTS (REITS) AND BUSINESS DEVELOPMENT COMPANIES (BDCS). ALSO, THE FIRM IS REQUIRED TO REVIEW ALL NON-TRADED REIT AND BDC SALES IT MADE DURING THE RELEVANT PERIOD, AND CERTIFY THAT IT HAS IDENTIFIED ALL TRANSACTIONS FOR WHICH A CUSTOMER DID NOT RECEIVE THE VOLUME DISCOUNT FOR WHICH IT WAS ELIGIBLE.
Regulatory · Item 11.E(2)
as of Aug 28, 2024
Allegations: WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED TO REASONABLY SUPERVISE ITS REGISTERED REPRESENTATIVES' VARIABLE ANNUITY RECOMMENDATIONS AND MADE DISCLOSURES THAT CONTAINED MATERIALLY INACCURATE INFORMATION OR OMITTED MATERIAL INFORMATION. THE FIRM FAILED TO PROVIDE ADEQUATE TRAINING TO ITS REPRESENTATIVES REGARDING HOW TO COMPLETE DISCLOSURE FORMS THAT WERE REQUIRED WHEN RECOMMENDING A VARIABLE ANNUITY EXCHANGE AND FAILED TO PROVIDE ADEQUATE TRAINING TO SUPERVISORS REGARDING HOW THEY SHOULD VERIFY THE INFORMATION ON THE DISCLOSURE FORMS OR HOW THEY SHOULD USE THAT INFORMATION TO CONDUCT A MEANINGFUL COMPARISON OF OLD AND NEW VARIABLE ANNUITIES. AS A RESULT, CERTAIN FIRM PRINCIPALS APPROVED VARIABLE ANNUITY EXCHANGES BASED ON DISCLOSURE FORMS THAT CONTAINED INACCURATE OR MISSING INFORMATION, WHICH EACH HAD THE EFFECT OF MAKING THE EXCHANGE APPEAR TO BE MORE FAVORABLE THAN WAS THE ACTUAL CASE. IN CERTAIN INSTANCES, THESE MISSTATEMENTS OR OMISSIONS PREVENTED THE FIRM'S REVIEWING PRINCIPALS FROM HAVING A REASONABLE BASIS TO APPROVE THESE TRANSACTIONS. THE FIRM FAILED TO REASONABLY SURVEIL REPRESENTATIVES' RATES OF VARIABLE ANNUITY EXCHANGES. THE FIRM FAILED TO REASONABLY SUPERVISE REPRESENTATIVES' VARIABLE ANNUITY SHARE-CLASS RECOMMENDATIONS AND FAILED TO PROVIDE REASONABLE TRAINING AND GUIDANCE TO ITS REPRESENTATIVES ON THE FEATURES, FEES, AND SURRENDER CHARGES OF THE VARIOUS SHARE CLASSES. AS A RESULT, CERTAIN REPRESENTATIVES LACKED THE INFORMATION NECESSARY TO COMPARE SHARE CLASSES IN MAKING SUITABILITY DETERMINATIONS. SIMILARLY, THE FIRM FAILED TO PROVIDE ADEQUATE TRAINING OR GUIDANCE TO ITS SUPERVISORS REGARDING VARIABLE ANNUITY SHARE CLASSES. CONSEQUENTLY, SUPERVISORS DID NOT IDENTIFY COMMON RED FLAGS, INCLUDING SALES OF C- AND L-SHARE CONTRACTS TO CUSTOMERS WITH NO SHORT-TERM LIQUIDITY NEEDS OR TO CUSTOMERS WHO INDICATED A LONG-TERM INVESTMENT HORIZON, AND REPRESENTATIVES WHO RECOMMENDED THAT CUSTOMERS COMBINE A C-SHARE OR L-SHARE PURCHASE WITH A LONG-TERM LIVING BENEFIT RIDER. THE FIRM ALSO LACKED A REASONABLY DESIGNED SYSTEM TO DETECT RED FLAGS OF INAPPROPRIATE SHARE-CLASS RECOMMENDATIONS. EVEN WHEN THE FIRM BECAME AWARE OF RED FLAGS REGARDING REPRESENTATIVES' VARIABLE ANNUITY SHARE-CLASS RECOMMENDATIONS, IT FAILED TO TAKE APPROPRIATE ACTION. THE FINDINGS ALSO STATED THAT THE FIRM FAILED TO REASONABLY SUPERVISE MUTUAL FUND SALES TO ENSURE THAT ELIGIBLE CUSTOMERS WHO PURCHASED MUTUAL FUND SHARES RECEIVED THE BENEFIT OF APPLICABLE SALES CHARGE WAIVERS. THE FIRM RELIED ON ITS REPRESENTATIVES TO DETERMINE THE APPLICABILITY OF SALES CHARGE WAIVERS TO CUSTOMERS' MUTUAL FUND PURCHASES, BUT IT FAILED TO PROVIDE GUIDANCE TO THE REPRESENTATIVES TO ASSIST THEM IN MAKING THIS DETERMINATION AND FAILED TO ESTABLISH A SYSTEM TO VERIFY WHETHER WAIVERS WERE PROPERLY APPLIED. AS A RESULT, THE FIRM FAILED TO APPLY SALES CHARGE WAIVERS TO CERTAIN MUTUAL FUND PURCHASES MADE BY ELIGIBLE CUSTOMERS. THESE SALES CAUSED CUSTOMERS TO PAY HIGHER FEES THAN THEY WERE ACTUALLY REQUIRED TO PAY. THE FINDINGS ALSO INCLUDED THAT THE FIRM FAILED TO ESTABLISH AND MAINTAIN A SUPERVISORY SYSTEM, AND FAILED TO ESTABLISH, MAINTAIN, AND ENFORCE WRITTEN PROCEDURES REASONABLY DESIGNED TO SUPERVISE THE SUITABILITY OF 529 SAVINGS PLAN SHARE-CLASS RECOMMENDATIONS. THE FIRM DID NOT PROVIDE ADEQUATE GUIDANCE TO REPRESENTATIVES REGARDING THE IMPORTANCE OF CONSIDERING SHARE-CLASS DIFFERENCES WHEN RECOMMENDING 529 PLANS AND DID NOT PROVIDE SUPERVISORS WITH THE INFORMATION NECESSARY TO PROPERLY EVALUATE THE SUITABILITY OF THE RECOMMENDATIONS. Status: Final Sanction Detail: THE FIRM WAS CENSURED, FINED $4,400,000 AND ORDERED TO PAY $4,354,160 IN RESTITUTION TO CUSTOMERS, OF WHICH $321,167 ALSO REQUIRES PAYMENT OF INTEREST.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
Services
- • Portfolio management for individuals/small businesses
- • Selection of other advisers
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
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