Transamerica Financial Advisors, Inc. is a full -service, fully licensed, independent Broker/Dealer and Registered Investment Advisor.
With over 25 years of experience, Transamerica Financial Advisors, Inc. is a full-service, fully licensed, independent Dealer & Registered Investment Advisor.
There is no such thing as one-size-fits-all when it comes to managing wealth. Our financial professionals work closely with you to address your unique needs and goals.
Our focus is on creating, growing and managing wealth through a broad range of financial products and services that promotes the economic well-being of clients.
On April 3, 2014, the Securities and Exchange Commission (“SEC”) signed an Order Instituting Administrative and Cease-and-Desist Proceedings relating to the aggregation of advisory accounts for billing purposes in the Capital, Sterling, and Advantage Programs by Transamerica Financial Advisors, Inc. (“TFA”). The SEC found that TFA failed to implement appropriate policies and procedures to assure that clients with multiple “householded” accounts in these Programs received reduced fees upon reaching certain breakpoints in the fee schedules. TFA has taken corrective action and restitution has been made to current and former clients who qualified for advisory fee discounts between January 2009 and June 2013, but did not receive them. TFA has entered into a settlement of this matter with the SEC. Please click here for a copy of the Order relating to this matter.