| Advisor Profile |
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| Research This Advisor |
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Disclosure Link:
https://tfa.transamerica.com...
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ADV Form II Link:
https://tfa.transamerica.com...
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| Request More Information |
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| Disclaimer |
| Securities and investment advisory services offered through Transamerica Financial Advisors, Inc. (TFA) member FINRA, SIPC and Registered Investment Advisor. Non-security products and services are not offered by TFA.
Due to various state regulations and registration requirements concerning the dissemination of information regarding investment products and services, we are currently required to limit access of the following pages to individuals residing in states where we are currently registered.
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Business Description |
As a full service independent financial services firm, we are able to wholistically focus on our clients; creating customized financial plans through risk management and long term planning.
With a vast portfolio of financial products from a wide spectrum of financial institutions, your plan is customized to meet your unique needs.
Be confident in knowing that your best interests come first. Establishing trust and building relationships are the most important priorities at this firm. |
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General Information |
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| Insurance License#: |
Life & Health
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| Name of Broker/Dealer: |
Transamerica Financial Advisors
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| Name of Custodial Firm: |
Pershing
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| States Licensed in: |
MA CT
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| States Willing to do Business in: |
MA CT
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| Years of Experience in Financial Services: |
9
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| Number of Years with Current Firm: |
1
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| Work Experience: |
Our Firm has over 80 years experience in Financial Services. Over the years, we have developed relationships with a team of experts in their respective fields, including but not limited to, accounting, legal services, estate planning, and business services.
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| I work with the following types of clients: |
Businesses, Individual Investors
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Education |
| Academic Background |
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Graduate, Summa Cum Laude
BS, Business Administration
Becker College |
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Services |
| Investment Types: |
Insurance, Mutual Funds, Alternative Investments, Annuities, Stocks, Bonds, Exchange Traded Funds (ETFs), Socially Responsible Investments (SRI)
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Qualifications & Memberships |
| Certifications, Accreditations & Designations: |
ARA, AIAA, FLMI, AAPA
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| Securities Licenses: |
Series 6, Series 7, Series 63, Series 24, Series 66
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| Insurance and Annuity Licenses: |
Variable Annuity, Variable Life, Life, Health, Annuity
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| Financial Organization Memberships: |
Society of Financial Services Professionals
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| Non-Financial Organization Memberships: |
Selectman, Town of Auburn
Volunteer Coach Little League
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Firm Information |
| Number of Advisors in Office: |
Up to 10 employees
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| I work with clients as part of a team: |
Yes
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| Firm's Number of Clients: |
455
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| Assets Managed by Firm: |
$45,000,000
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Compliance |
| Registered Investment Advisor: |
Yes
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| Registered Representative: |
Yes
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| Investment Advisor Representative: |
Yes
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| I am an acknowledged fiduciary: |
Yes
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| Compliance Disclosures in Last 5 years: |
I have a clean record
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| Criminal Disclosures in Last 5 years: |
I have a clean record
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Compensation & Fees |
| Fee Structure: |
I am a fee-based financial professional
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| Minimum Portfolio Size for New Managed Accounts: |
$50,000
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| Compensation Methods: |
Hourly, Flat Fee, Commissions, Subscriptions, Based on Assets
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| Additional Details on Charges: |
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| Prepared By: |
Nicholas Hammond |
Frequently Asked Questions |
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Will you be the only person working with me? |
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Depends, Complex cases may require in a experts that specialize in different fields. Generally this can be determined during the first consultation. |
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Do you offer any guaranteed results? |
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No. Anyone offering guaranteed results should be considered a red flag. |
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