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

RUSTOMJI FEROZ DUBASH

Advisor at TRANSAMERICA RETIREMENT ADVISORS, LLC

ELKHART, IN

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Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 1:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Oct 19, 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: Sep 29, 1995earliest registration or exam on IAPD
Years in industry: 30derivedfrom the industry start date
Years at current firm: 12derivedfrom the current registration's begin date
Prior firms: 6
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: Sep 29, 1995
First registration: Oct 19, 2000
Dual registered: yes, broker-dealer
Other names: RUSTOM FEROZ DUBASH|RUS FEROZ DUBASH|RUSTOM F. DUBASH
IAPD individual key: 2651871

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	Jun 16, 2014	n/a	yes	ELKHART, IN	Current employment
VALIC FINANCIAL ADVISORS, INC.	Bd affiliated wealth	Mar 3, 2008	Oct 4, 2012	no	CARMEL, IN	Previous registration
NATCITY INVESTMENTS, INC.	n/a	Feb 20, 2007	Feb 28, 2008	no	MISHAWAKA, IN\|ELKHART, IN\|MISHAWAKA, IN	Previous registration
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Former SEC adviser	May 18, 2006	Aug 11, 2006	no	WOODMERE, OH	Previous registration
TD AMERITRADE, INC.	Former SEC adviser	Apr 7, 2006	Aug 11, 2006	no	Orange Village, OH	Previous registration
BANC ONE SECURITIES CORPORATION	n/a	Dec 16, 2004	Feb 22, 2005	no	HAZEL CREST, IL	Previous registration
CHARLES SCHWAB & CO., INC.	National bd RIA	Oct 19, 2000	Oct 22, 2003	no	SOUTHBEND, IL	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
VALIC FINANCIAL ADVISORS, INC.	TRANSAMERICA RETIREMENT ADVISORS, LLC	Oct 4, 2012	Jun 16, 2014	620	Firm change after gap	Other
NATCITY INVESTMENTS, INC.	VALIC FINANCIAL ADVISORS, INC.	Feb 28, 2008	Mar 3, 2008	4	Firm change	Other
TD AMERITRADE INVESTMENT MANAGEMENT, LLC	NATCITY INVESTMENTS, INC.	Aug 11, 2006	Feb 20, 2007	193	Firm change	Other
TD AMERITRADE, INC.	TD AMERITRADE INVESTMENT MANAGEMENT, LLC	Aug 11, 2006	May 18, 2006	-85	Channel change	Other
BANC ONE SECURITIES CORPORATION	TD AMERITRADE, INC.	Feb 22, 2005	Apr 7, 2006	409	Firm change after gap	Other
CHARLES SCHWAB & CO., INC.	BANC ONE SECURITIES CORPORATION	Oct 22, 2003	Dec 16, 2004	421	Firm change after gap	Other

Relationships

Registered with (7)

→ TRANSAMERICA RETIREMENT ADVISORS, LLCRegistered adviserregistration: current employment
Jun 16, 2014 to presentfactForm ADV
→ VALIC FINANCIAL ADVISORS, INC.Registered adviserregistration: previous registration
Mar 3, 2008 to Oct 4, 2012factForm ADV
→ NATCITY INVESTMENTS, INC.Registered adviserregistration: previous registration
Feb 20, 2007 to Feb 28, 2008factForm ADV
→ TD AMERITRADE INVESTMENT MANAGEMENT, LLCRegistered adviserregistration: previous registration
May 18, 2006 to Aug 11, 2006factForm ADV
→ TD AMERITRADE, INC.Registered adviserregistration: previous registration
Apr 7, 2006 to Aug 11, 2006factForm ADV
→ BANC ONE SECURITIES CORPORATIONRegistered adviserregistration: previous registration
Dec 16, 2004 to Feb 22, 2005factForm ADV
→ CHARLES SCHWAB & CO., INC.Registered adviserregistration: previous registration
Oct 19, 2000 to Oct 22, 2003factForm ADV

Dated events

No dated event names this entity yet.