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Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC
Los Angeles, CA
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 | Feb 5, 2020 | n/a | yes | Los Angeles, CA | Current employment |
| LOCKTON INVESTMENT ADVISORS, LLC | No RAUM reported | Feb 3, 2017 | Feb 15, 2018 | no | Los Angeles, CA|OVERLAND PARK, KS | Previous registration |
| PRINCIPAL SECURITIES, INC. | Bd affiliated wealth | Dec 13, 2016 | Feb 2, 2017 | no | GLENDALE, CA | Previous registration |
| From | To | Left | Joined | Gap, days | Kind | Move type |
|---|---|---|---|---|---|---|
| LOCKTON INVESTMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, LLC | Feb 15, 2018 | Feb 5, 2020 | 720 | Firm change after gap | Other |
| PRINCIPAL SECURITIES, INC. | LOCKTON INVESTMENT ADVISORS, LLC | Feb 2, 2017 | Feb 3, 2017 | 1 | Firm change | Other |