Full text of TRANSAMERICA FINANCIAL ADVISORS, INC's X-17A-5 filed 2021-03-31 (period 2020-12-31). Broker-dealer annual report from SEC EDGAR — readable, searchable, and available as markdown for AI agents.
{0}------------------------------------------------ ## FINANCIAL STATEMENT Transamerica Financial Advisors, Inc. Year Ended December 31, 2020 With Report of Independent Registered Public Accounting Firm *(Pursuant to Rule 17a-5(e)(3) under the Securities Exchange Act of 1934)* {1}------------------------------------------------ **UNITEDSTATES SECURITIESANDEXCHANGECOMMISSION Washington, D.C. 20549** # 0MB Number: 3235-0123 Expires: May 31 , 2021 Estimated average burden hours per response. 12.00 I =mEMMIBR \_ **8-33429** 0MB APPROVAL # **ANNUAL AUDITED REPORT FORM X-17A-5 PART** III #### **FACING PAGE** **Information Required of Brokers and Dealers Pursuant to Section 17 of the Securities Exchange Act of 1934 and Rule 17a-5 Thereunder** | 01/01/20 | AND ENDING | 12/31/20<br>MM/DD/YY | | | | |--------------------------------------------------------------------------------------------------------------------------------------|------------|------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------------|--|--|--| | | | | | | | | | | OFFICIALUSEONLY | | | | | NAME OF BROKER-DEALER:<br>Transamerica Financial Advisors, Inc.<br>ADDRESS OF PRINCIPAL PLACE OF BUSINESS: (Do not use P.O. Box No.) | | | | | | | | | | | | | | (No. and Street) | | | | | | | FL | | 33716 | | | | | (State) | | (Zip Code) | | | | | | | (319) 355-2802 | | | | | | | (Area Code - Telephone Number) | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | | Chicago | IL | 60606 | | | | | (City) | (State) | (Zip Code) | | | | | | | | | | | | | MMLDDLYY | A. REGISTRANT IDENTIFICATION<br>NAME AND TELEPHONE NUMBER OF PERSON TO CONTACT IN REGARD TO THIS REPORT<br>B. ACCOUNTANT IDENTIFICATION<br>INDEPENDENT PUBLIC ACCOUNTANT whose opinion is contained in this Report*<br>(Name - if individual, state last, first, middle name)<br>Accountant not resident in United States or any of its possessions. | | | | *\*Claims for exemption from the requirement that the annual report be covered by the opinion of an independent public accountant must be supported by a statement of facts and circumstances relied on as the basis for the exemption. See Section 240.17a-5(e)(2)* **Potential persons who are to respond to the collection of infor…Read the full text as markdown