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Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC
Wheaton, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.
| Firm | Class | Began | Ended | Current | Branch | Basis |
|---|---|---|---|---|---|---|
| TRANSAMERICA RETIREMENT ADVISORS, LLC | Bd affiliated wealth | Mar 4, 2026 | n/a | yes | Wheaton, IL | Current employment |
| MORGAN STANLEY | Wirehouse | Sep 5, 2023 | Apr 18, 2024 | no | Chicago, IL|Chicago, IL | Previous registration |
| E*TRADE CAPITAL MANAGEMENT, LLC | Former SEC adviser | Oct 28, 2021 | Sep 5, 2023 | no | ARLINGTON, VA|Chicago, IL | Previous registration |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | Wirehouse | Jan 24, 2018 | Oct 5, 2021 | no | CHICAGO, IL|LISLE, IL|LISLE, IL|CHICAGO, IL|CHICAGO, IL|LISLE, IL|LISLE, IL | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| MORGAN STANLEY | TRANSAMERICA RETIREMENT ADVISORS, LLC | Apr 18, 2024 | Mar 4, 2026 | 685 | Firm change after gap | Wirehouse to ibd |
| E*TRADE CAPITAL MANAGEMENT, LLC | MORGAN STANLEY | Sep 5, 2023 | Sep 5, 2023 | 0 | Bulk transfer | RIA to wirehouse |
| MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED | E*TRADE CAPITAL MANAGEMENT, LLC | Oct 5, 2021 | Oct 28, 2021 | 23 | Firm change | Wirehouse to RIA |
| Team | Left | Joined | From | Kind |
|---|---|---|---|---|
| 7691:42159:IL:2021-09-28 | Oct 5, 2021 | Oct 28, 2021 | LISLE, IL | Firm change |