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RIA / WealthAdvisorChartered Financial Consultantdual registered (broker-dealer)15 years in industry

Amber Rae Paulsen

Advisor at TRANSAMERICA FINANCIAL ADVISORS, LLC

Cedar Rapids, IA

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Search this name across graphsid dfx:ria:9cc34b39-ff6b-76ed-089d-7112174ebb1e

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 4:39 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 2
On other graphs: 0
Observed: Jun 15, 2012 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 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: Jun 27, 2011earliest registration or exam on IAPD
Years in industry: 15derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 2
Designations: Chartered Financial Consultant
Exams: S63|S65
First exam: Jun 27, 2011
First registration: Jun 15, 2012
Dual registered: yes, broker-dealer
IAPD individual key: 5838666

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	Apr 23, 2025	n/a	yes	Cedar Rapids, IA	Current employment
CADARET GRANT & CO INC	Former SEC adviser	Feb 7, 2024	Apr 25, 2025	no	SYRACUSE, NY	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Oct 20, 2021	Apr 14, 2023	no	Fairport, NY	Previous registration
KEY INVESTMENT SERVICES LLC	Bd affiliated wealth	Mar 26, 2021	Sep 16, 2021	no	Camillus, NY\|Camillus, NY\|ROCHESTER, NY\|Rochester, NY\|Syracuse, NY\|Fulton, NY\|Syracuse, NY\|Fort Myers, FL\|Dewitt, NY\|Syracuse, NY\|Fayetteville, NY\|Baldwinsville, NY\|Plattsburgh, NY\|Rochester, NY\|Lowville, NY\|New Hartford, NY\|Marcellus, NY\|CANANDAIGUA, NY\|BROOKLYN, OH\|Liverpool, NY\|Massena, NY\|Fairport, NY\|North Syracuse, NY\|Cortland, NY\|Syracuse, NY\|BROOKLYN, OH\|ROCHESTER, NY\|Syracuse, NY\|SPENCERPORT, NY\|Cortland, NY\|Binghamton, NY\|BROOKLYN, OH\|Liverpool, NY\|ROCHESTER, NY\|Rochester, NY\|Rochester, NY\|BROCKPORT, NY\|WATERTOWN, NY\|Cazenovia, NY\|Syracuse, NY\|Webster, NY\|Endicott, NY\|HENRIETTA, NY\|DEWITT, NY\|Auburn, NY\|ROCHESTER, NY\|PENFIELD, NY\|BINGHAMTON, NY\|ROCHESTER, NY\|ITHACA, NY\|PLATTSBURGH, NY\|Rochester, NY\|CICERO, NY\|Oswego, NY\|Rome, NY\|WATERTOWN, NY\|MANLIUS, NY\|East Syracuse, NY\|Ithaca, NY\|Camillus, NY\|Rochester, NY\|Auburn, NY\|SYRACUSE, NY\|ROCHESTER, NY\|ROCHESTER, NY\|ROCHESTER, NY\|SKANEATELES, NY\|JOHNSON CITY, NY\|Auburn, NY\|Mexico, NY\|Batavia, NY\|UTICA, NY\|WEBSTER, NY\|Rochester, NY\|Rochester, NY\|New Hartford, NY\|Utica, NY	Previous registration
CITIZENS SECURITIES, INC.	Bd affiliated wealth	Jun 15, 2012	Sep 11, 2012	no	ROCHESTER, NY	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
CADARET GRANT & CO INC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Apr 25, 2025	Apr 23, 2025	-2	Firm change	Ibd to ibd
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	CADARET GRANT & CO INC	Apr 14, 2023	Feb 7, 2024	299	Firm change	Ibd to ibd
KEY INVESTMENT SERVICES LLC	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Sep 16, 2021	Oct 20, 2021	34	Firm change	Ibd to ibd
CITIZENS SECURITIES, INC.	KEY INVESTMENT SERVICES LLC	Sep 11, 2012	Mar 26, 2021	3,118	Firm change after gap	Other

Relationships

Registered with (5)

→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Apr 23, 2025 to presentfactForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Feb 7, 2024 to Apr 25, 2025factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Oct 20, 2021 to Apr 14, 2023factForm ADV
→ KEY INVESTMENT SERVICES LLCRegistered adviserregistration: previous registration
Mar 26, 2021 to Sep 16, 2021factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
Jun 15, 2012 to Sep 11, 2012factForm ADV

Dated events

Occurred
Apr 25, 2025
Advisor changed firm
Amber Rae Paulsen left Cadaret Grant & Co Inc for Transamerica Financial Advisors, Llc (registered 2025-04-23)
Form ADVobserved 5 days ago
Occurred
Apr 14, 2023
Advisor changed firm
Amber Rae Paulsen left Raymond James Financial Services Advisors, Inc for Cadaret Grant & Co Inc (registered 2024-02-07)
Form ADVobserved 5 days ago