TRANSAMERICA FINANCIAL ADVISORS, LLC of PHILADELPHIA, PA is an SEC-registered investment adviser (CRD 16164). Regulatory assets under management: $2.1B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Charities.
Showing 25 of 52 people.
| Name | Role | Location |
|---|---|---|
| Russell Gilliam | ASSISTANT VICE PRESIDENT - SROP; VICE PRESIDENT, OPERATIONS; VICE PRESIDENT, OPERATIONS - SROP (+2 more) | Solon, IA |
| Joseph R Warren | CHIEF OPERATING OFFICER | CHARLESTON, SC |
| Joseph Warren | DIRECTOR | Ballston Spa, NY |
| Joseph T Warren | CHIEF OPERATING OFFICER | Orlando, FL |
| Brian Beitzel | DIRECTOR, CHIEF FINANCIAL OFFICER | — |
| Christina D Kramer | CHIEF COMPLIANCE OFFICER | — |
| Michelle Anne Barry | DIRECTOR, PRESIDENT, CEO, CHIEF SUPERVISORY OFFICER | — |
| Robert Costello | CHIEF OPERATIONS OFFICER | Feasterville, PA |
| Joseph Richard Warren | CHIEF OPERATING OFFICER | — |
| BROWN SANDRA CHAPPELL | DIRECTOR | — |
| CHUANG GEORGE CHUWANG | DIRECTOR, PRESIDENT, CEO & CHAIRMAN OF THE BOARD; PRESIDENT; VICE PRESIDENT (+2 more) | — |
| TRIVERS DAN SHANE | CHIEF OPERATIONS OFFICER; CHIEF SUPERVISORY OFFICER | — |
| BARRY MICHELLE ANNE | DIRECTOR, PRESIDENT, CEO, CHIEF SUPERVISORY OFFICER; DIRECTOR, PRESIDENT, CEO, CO-COO | — |
| MILLER DAVID | CHIEF EXECUTIVE OFFICER; DIRECTOR; DIRECTOR, PRESIDENT, CEO, CO-COO (+1 more) | — |
| ADKINS DEMPSEY RENO | DIRECTOR | — |
| SCHAAD ANDREW MICHAEL | DIRECTOR; DIRECTOR, PRESIDENT, CEO, CO-COO | — |
| CRAM ROBERT LYNN | AVP, CHIEF COMPLIANCE OFFICER; INTERIM CHIEF COMPLIANCE OFFICER, BROKER DEALER | — |
| MORIARTY THOMAS RAYMOND | CO-PRESIDENT, CHAIRMAN OF THE BOARD; CO-PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER; CO-PRESIDENT, CHIEF OPERATING OFFICER, AND DIRECTOR (+4 more) | — |
| GEIGER WILLIAM HAROLD | DIRECTOR; DIRECTOR AND ASSISTANT SECRETARY; DIRECTOR AND SECRETARY | — |
| CUMMINGS WILLIAM GEORGE | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER AND TREASURER - FINOP; VICE PRESIDENT AND TREASURER - FINOP | — |
| ROONEY TERESA JOAN | ATTORNEY, ASSISTANT SECRETARY; VICE PRESIDENT AND COUNSEL; VICE PRESIDENT AND GENERAL COUNSEL (+1 more) | — |
| WOLLETT FRANKLYN JOHN | VICE PRESIDENT, SECRETARY AND SENIOR COUNSEL | — |
| PIENIAS WILLIAM MATTHEW | CO-PRESIDENT, CHIEF MARKETING OFFICER; CO-PRESIDENT, VARIABLE PRODUCTS | — |
| ROSA FRANK JOSEPH | DIRECTOR | — |
| SCHERRMAN MICHAEL EMMETT | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, CHIEF OPERATING OFFICER; VICE PRESIDENT, CHIEF OPERATING OFFICER AND CHIEF COMPLIANCE OFFICER (+1 more) | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-12-21 | regulatory | 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 MATERIA… | Final | $4.4M |
| 2019-03-11 | regulatory | 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 ENF… | Final | — |
| 2018-08-27 | regulatory | 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 ADVISOR… | Final | $800K |
| 2015-07-27 | regulatory | 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), RE… | Final | $85K |
| 2015-01-20 | regulatory | 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. | Final | $50K |
| 2014-04-03 | regulatory | 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. | Final | $554K |
| 2011-08-02 | regulatory | 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. | Final | $50K |
| 2010-12-21 | regulatory | 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 SUP… | Final | $50K |
| 2010-05-04 | regulatory | 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 CURR… | Final | $250K |
| — | criminal | — | — | — |