DFX Intelligence

Data Factory

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

RUBEN GONZALEZ

Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC

Ontario, CA

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:7debf709-d273-193e-30de-04ffc926ff97

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 6
Dated events: 0
On other graphs: 0
Observed: May 30, 2007 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: Oct 11, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 11derivedfrom the current registration's begin date
Prior firms: 5
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Oct 11, 1995
First registration: May 30, 2007
Dual registered: yes, broker-dealer
IAPD individual key: 2619263

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 30, 2014	n/a	yes	Ontario, CA	Current employment
CALTON & ASSOCIATES, INC.	Independent wealth	Mar 4, 2014	Sep 23, 2014	no	ONTARIO, CA\|CARLSBAD, CA	Previous registration
J.P. MORGAN SECURITIES LLC	Wirehouse	Oct 1, 2012	Dec 5, 2013	no	FONTANA, CA\|CHINO, CA\|NORCO, CA\|FONTANA, CA\|FONTANA, CA	Previous registration
CHASE INVESTMENT SERVICES CORP.	Former SEC adviser	May 2, 2009	Oct 1, 2012	no	RIALTO, CA\|ONTARIO, CA\|RIALTO, CA\|FONTANA, CA\|NORCO, CA\|CHINO, CA\|FONTANA, CA	Previous registration
WAMU INVESTMENTS, INC.	n/a	Nov 8, 2007	May 2, 2009	no	MIRA LOMA, CA\|ONTARIO, CA\|RIALTO, CA	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	May 30, 2007	Nov 12, 2007	no	Fountain Valley, 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
CALTON & ASSOCIATES, INC.	TRANSAMERICA RETIREMENT ADVISORS, LLC	Sep 23, 2014	Sep 30, 2014	7	Firm change	Other
J.P. MORGAN SECURITIES LLC	CALTON & ASSOCIATES, INC.	Dec 5, 2013	Mar 4, 2014	89	Firm change	Other
CHASE INVESTMENT SERVICES CORP.	J.P. MORGAN SECURITIES LLC	Oct 1, 2012	Oct 1, 2012	0	Bulk transfer	Other
WAMU INVESTMENTS, INC.	CHASE INVESTMENT SERVICES CORP.	May 2, 2009	May 2, 2009	0	Bulk transfer	Other
CITIGROUP GLOBAL MARKETS INC.	WAMU INVESTMENTS, INC.	Nov 12, 2007	Nov 8, 2007	-4	Firm change	Other

Relationships

Registered with (6)

→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: current employment
Sep 30, 2014 to presentfactForm ADV
→ CALTON & ASSOCIATES, INC.Registered adviserregistration: previous registration
Mar 4, 2014 to Sep 23, 2014factForm ADV
→ J.P. MORGAN SECURITIES LLCRegistered adviserregistration: previous registration
Oct 1, 2012 to Dec 5, 2013factForm ADV
→ CHASE INVESTMENT SERVICES CORP.Registered adviserregistration: previous registration
May 2, 2009 to Oct 1, 2012factForm ADV
→ WAMU INVESTMENTS, INC.Registered adviserregistration: previous registration
Nov 8, 2007 to May 2, 2009factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
May 30, 2007 to Nov 12, 2007factForm ADV

Dated events

No dated event names this entity yet.