Transamerica Financial Advisors, Inc.

Transamerica Financial Advisors, Inc.

A subsidiary of AUSA Holding Co., an Aegon company

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570 Carillon Parkway

St. Petersburg, FL 33716

770-248-3271

www.tfaconnect.com/

Clearing firm: Pershing LLC

No. advisers: 3,450

No. franchises: 379

AUM: $10,514,000,000

Year founded: 1984

Year end: Dec. 31

No. of retail offices: 480

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Additional data available to subscribers:
  • No. of reps, male
  • No. of reps, female
  • No. of producing reps, male
  • No. of producing reps, female
  • No. of reps producing $500K+ /year
  • No. of CFPs
  • No. of full-time employees
  • No. of fee-based advisers served
  • Average payout per rep, per year
  • Avg. annual production of top 20% reps
  • Total payout, per year
  • Cost of E&O insurance per rep, per year
  • Affiliation fees charged per rep, per year
  • Affiliation fee coverage
  • Securities revenues
  • Securities revenues: Stocks
  • Securities revenues: Bonds
  • Securities revenues: ETFs
  • Securities revenues: Other
  • Mutual fund revenues
  • Annuities revenues
  • Annuities revenues: Fixed
  • Annuities revenues: Variable
  • Annuities revenues: Other
  • Insurance revenue
  • Insurance revenues: Life
  • Insurance revenues: Disabilities
  • Insurance revenues: LTC
  • Insurance revenues: Other
  • Alternative revenues
  • Alternative revenues: Hedge funds
  • Alternative revenues: Managed futures
  • Alternative revenues: Private placements
  • Alternative revenues: REITs
  • Alternative revenues: Other
  • Other commission revenues
  • Fee revenues: Rep-managed accounts
  • Fee revenues: Firm-managed accounts
  • Fee revenues: Outside-managed accounts
  • Fee revenues: Other
  • Fee-based assets: Clearing firm
  • Fee-based assets: Advisory firm platforms
  • Fee-based assets: Third-party money managers
  • Fee-based assets: Other
  • Is the firm, or an affiliate of the firm, registered as an investment adviser with the SEC?
  • Allows an adviser to have his/her own RIA
  • RIA platform AUM
  • Offers robo-advisory platform?
  • If not, when plans to offer a robo-platform
  • Robo-advice services offered
  • How robo-platform developed
  • Charge for robo-advisory services?

For More Information

Top ExecutiveGeorge Chuang
Recruiting ContactMatt Chambers
801 372 6797
E-mail
Compliance ContactBrad Mullikin
770-248-3491
E-mail
Marketing ContactMatt Chambers
801 372 6797
E-mail
Technology Operations ContactDan S Trivers
770-447-7425
E-mail

Recruitment & Staffing

2018 2017 2016
No. of reps3,4503,3643,302
No. of producing reps3,3443,2413,184
No. of reps producing $100K-$499K /year000
2018 2017 2016
Total revenues$109,330,863$93,818,089$133,321,914
Commission revenues$96,211,159$74,059,359$90,690,994
Fee revenues$16,805,778$14,642,195$32,965,330
Total revenues: Other0$5,116,535$9,665,590
2018 2017 2016
Total account assets$10,514,000,000$10,033,598,581$11,167,029,407
Fee-based assets$1,709,635,010$1,137,080,289$1,057,731,715
Total account assets: Other$8,804,364,990$8,896,518,292$10,109,297,692
Average assets per rep$3,047,536$2,982,639$3,381,899
Social Media & Mobile
Allows advisers to use social mediaY
Social media sites allowedFacebook
LinkedIn
Twitter
Dedicated mobile application for advisers?Y
Primary purpose of mobile applicationCommunications

SEC bars ex-Transamerica broker who took $583,000 from clients

July 8, 2019 - The Securities and Exchange Commission on Friday barred a former Transamerica Financial Advisors Inc. broker who was charged last summer by the U.S. Attorney's office with securities and bank fraud in taking $583,000 from his clients. The broker, Pedro...

Transamerica entities to pay $97 million to investors over model portfolio snafus

August 27, 2018 - Four Transamerica Corp. related businesses were ordered to pay $97.6 million in penalties and disgorgement to retail investors on Monday by the Securities and Exchange Commission for misconduct related to faulty investment models. According to the SEC's...

Former Transamerica broker assistant barred for forging customer signature

May 31, 2018 - The Financial Industry Regulatory Authority Inc. has barred a brokerage assistant formerly employed by Transamerica Financial Advisors for signing a customer's name on forms and documents in connection with an account transfer. The assistant, Francis...

Top independent broker-dealers ranked by revenue

April 21, 2018 - Firm 2017 % revenue ($M) % change vs. 2016 2017 commission revenue ($M) % change vs. 2016 2017 fee revenue ($M) % change vs. 2016 2017 other revenue ($M) % change vs. 2016 1 LPL Financial $4,281.50 5.70% $1,670.80 -3.80% $1,409.20 9.30% $1,201.40 17.50%...

Top independent broker-dealers by revenue and payout

April 23, 2017 - Top 50 IBDs ranked by 2016 revenue Bubble view By group Table view Firm 2016 revenue ($M) % change vs. 2015 2016 commission revenue ($M) % change vs. 2015 2016 fee revenue ($M) % change vs. 2015 2016 other revenue ($M) % change vs. 2015 1 LPL Financial...

Top independent broker-dealers reveal their payout tables

January 22, 2017 - The 2017 InvestmentNews independent-broker-dealer directory is based on information provided by 90 eligible firms. To be considered for future listings, contact INResearch@investmentnews.com. Visit InvestmentNews.com/bddata for more-complete profiles....

Signator, John Hancock's IBD, taps new CEO

November 4, 2016 - Culminating a busy year, Signator Investors Inc., John Hancock's independent broker-dealer, said on Thursday it was appointing a new CEO to replace its longtime chief, Brian Heapps, who is retiring. Signator has tapped industry and firm veteran Christopher...

Advisers on the Move, third quarter recap

October 16, 2016 - Top-ranked firms by net change in AUM Firm Gained AUM($M) Lost AUM($M) Net change($M) Gained # of teams Lost # of teams Raymond James 9,768 300 9,468 14 1 6 Meridian 2,200 0 2,200 1 0 RBC Wealth Management 1,824 0 1,824 5 0 Stifel Nicolaus & Co. 1,445...

Transamerica loses $1 billion team to Kestra Financial

July 29, 2016 - A team of advisers with nearly $1 billion in client assets has left Transamerica Financial Advisors Inc. to join Kestra Financial Inc. The Wiser Financial Group, based in Kalamazoo, Mich., specializes in retirement, wealth management, risk management...

    Notes
  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

All 2011-2016 recruitment and staffing data is as of Dec. 31 in the calendar year displayed. Prior year recruitment and staffing data is as of Sept. 30. All financial figures are for firms' year end, unless noted.

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