Our business revolves around your success.
Transamerica Financial Advisors, Inc. is a full -service, fully licensed, independent Broker/Dealer and Registered Investment Advisor.
Vested in your success - 100 percent.
With over 25 years of experience,
Transamerica Financial Advisors, Inc. is a
full-service, fully licensed, independent
Dealer & Registered Investment Advisor.
Lean more on how we are vested for your success!
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.