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RIA / WealthAdvisordual registered (broker-dealer)30 years in industry

Mark Anthony Ruffo

Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC

San Diego, CA

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Search this name across graphsid dfx:ria:4f213fc4-e54f-3b4d-a9d9-226a29e9cfda

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:17 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 3
On other graphs: 0
Observed: Sep 15, 2000 to Sep 14, 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 RETIREMENT 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: Apr 3, 1996earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Apr 3, 1996
First registration: Sep 15, 2000
Dual registered: yes, broker-dealer
Other names: Marco Antonio Ruffo
IAPD individual key: 2709831

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 RETIREMENT ADVISORS, LLC	Bd affiliated wealth	Sep 18, 2025	n/a	yes	San Diego, CA	Current employment
OSAIC FA, INC.	Former SEC adviser	Sep 21, 2022	May 8, 2024	no	SAN DIEGO, CA\|FORT WAYNE, IN\|FORT WAYNE, IN	Previous registration
EMPOWER ADVISORY GROUP, LLC	Bd affiliated wealth	Feb 22, 2022	Sep 22, 2022	no	GREENWOOD VILLAGE, CO\|San Diego, CA	Previous registration
OSAIC FA, INC.	Former SEC adviser	Apr 24, 2017	Feb 1, 2022	no	SAN DIEGO, CA\|SAN DIEGO, CA\|FORT WAYNE, IN\|SAN DIEGO, CA\|FORT WAYNE, IN	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Sep 15, 2000	Sep 21, 2015	no	San Diego, CA\|SAN DIEGO, CA	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
OSAIC FA, INC.	TRANSAMERICA RETIREMENT ADVISORS, LLC	May 8, 2024	Sep 18, 2025	498	Firm change after gap	Ibd to ibd
EMPOWER ADVISORY GROUP, LLC	OSAIC FA, INC.	Sep 22, 2022	Sep 21, 2022	-1	Firm change	Ibd to ibd
OSAIC FA, INC.	EMPOWER ADVISORY GROUP, LLC	Feb 1, 2022	Feb 22, 2022	21	Firm change	Other
CHARLES SCHWAB & CO., INC.	OSAIC FA, INC.	Sep 21, 2015	Apr 24, 2017	581	Firm change after gap	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
3978:107319:IN:2024-05-02	May 8, 2024	Sep 18, 2025	FORT WAYNE, IN	Firm change after gap

Relationships

Registered with (4)

→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: current employment
Sep 18, 2025 to presentfactForm ADV
→ OSAIC FA, INC.Registered adviserregistration: previous registration
Sep 21, 2022 to May 8, 2024factForm ADV
→ EMPOWER ADVISORY GROUP, LLCRegistered adviserregistration: previous registration
Feb 22, 2022 to Sep 22, 2022factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Sep 15, 2000 to Sep 21, 2015factForm ADV

Dated events

Occurred
May 8, 2024
Advisor changed firm
Mark Anthony Ruffo left Osaic Fa, Inc. for Transamerica Retirement Advisors, Llc (registered 2025-09-18)
Form ADVobserved 4 days ago
Occurred
Sep 22, 2022
Advisor changed firm
Mark Anthony Ruffo left Empower Advisory Group, Llc for Osaic Fa, Inc. (registered 2022-09-21)
Form ADVobserved 4 days ago
Occurred
Feb 1, 2022
Advisor changed firm
Mark Anthony Ruffo left Osaic Fa, Inc. for Empower Advisory Group, Llc (registered 2022-02-22)
Form ADVobserved 4 days ago