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RIA / WealthAdvisordual registered (broker-dealer)12 years in industry

Nicole Koren Clark

Advisor at TRANSAMERICA FINANCIAL ADVISORS, LLC

Emmetsburg, IA | Cedar Rapids, IA

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Search this name across graphsid dfx:ria:4019b8f2-ec63-2dd7-5e12-44aacba24a76

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 2
On other graphs: 0
Observed: Aug 20, 2014 to Sep 15, 2026

Across DFX

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.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: TRANSAMERICA FINANCIAL ADVISORS, LLC
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Jul 1, 2014earliest registration or exam on IAPD
Years in industry: 12derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 1
Exams: S66
First exam: Aug 18, 2014
First registration: Aug 20, 2014
Dual registered: yes, broker-dealer
Other names: Nicole K Clark|Nicole Clark Blumenthal
IAPD individual key: 5121074

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
TRANSAMERICA FINANCIAL ADVISORS, LLC	Bd affiliated wealth	Mar 10, 2025	n/a	yes	Cedar Rapids, IA\|Emmetsburg, IA	Current employment
U.S. BANCORP INVESTMENTS, INC.	Former SEC adviser	Dec 12, 2022	May 7, 2024	no	Spencer, IA	Previous registration
TRUIST ADVISORY SERVICES, INC.	Bd affiliated wealth	Aug 26, 2016	Aug 5, 2022	no	ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|PALM BAY, FL	Previous registration
SUNTRUST INVESTMENT SERVICES, INC.	Former SEC adviser	Aug 20, 2014	Dec 31, 2016	no	ORLANDO, FL\|ORLANDO, FL\|ORLANDO, FL\|PALM BAY, FL\|TAMPA, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
U.S. BANCORP INVESTMENTS, INC.	TRANSAMERICA FINANCIAL ADVISORS, LLC	May 7, 2024	Mar 10, 2025	307	Firm change	Ibd to ibd
TRUIST ADVISORY SERVICES, INC.	U.S. BANCORP INVESTMENTS, INC.	Aug 5, 2022	Dec 12, 2022	129	Firm change	Ibd to ibd
SUNTRUST INVESTMENT SERVICES, INC.	TRUIST ADVISORY SERVICES, INC.	Dec 31, 2016	Aug 26, 2016	-127	Bulk transfer	Other

Relationships

Registered with (4)

→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Mar 10, 2025 to presentfactForm ADV
→ U.S. BANCORP INVESTMENTS, INC.Registered adviserregistration: previous registration
Dec 12, 2022 to May 7, 2024factForm ADV
→ TRUIST ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Aug 26, 2016 to Aug 5, 2022factForm ADV
→ SUNTRUST INVESTMENT SERVICES, INC.Registered adviserregistration: previous registration
Aug 20, 2014 to Dec 31, 2016factForm ADV

Dated events

Occurred
May 7, 2024
Advisor changed firm
Nicole Koren Clark left U.S. Bancorp Investments, Inc. for Transamerica Financial Advisors, Llc (registered 2025-03-10)
Form ADVobserved 5 days ago
Occurred
Aug 5, 2022
Advisor changed firm
Nicole Koren Clark left Truist Advisory Services, Inc. for U.S. Bancorp Investments, Inc. (registered 2022-12-12)
Form ADVobserved 5 days ago