DFX Intelligence

Data Factory

RIA / WealthAdvisordual registered (broker-dealer)18 years in industry

SUZANA Romine

Advisor at TRANSAMERICA FINANCIAL ADVISORS, LLC

Cedar Rapids, IA | Somerset, NJ

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:d03b97a5-c1ad-a9ee-4344-41a0ba897e14

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 11:24 AM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 1
On other graphs: 0
Observed: Dec 4, 2007 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: Nov 27, 2007earliest registration or exam on IAPD
Years in industry: 18derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 3
Current registrations: 1
Registered states: 2
Exams: S66
First exam: Nov 27, 2007
First registration: Dec 4, 2007
Dual registered: yes, broker-dealer
Other names: SUZANA EFTOSKI|SUZANA ROMINE|Suzana Eftoski
IAPD individual key: 2052182

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 7, 2025	n/a	yes	Somerset, NJ\|Cedar Rapids, IA	Current employment
PRUCO SECURITIES, LLC	No RAUM reported	Nov 19, 2014	Jan 2, 2025	no	Newark, NJ\|Somerset, NJ\|NEWARK, NJ	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 3, 2014	no	Morristown, NJ	Previous registration
CITIGROUP GLOBAL MARKETS INC.	Bd affiliated wealth	Dec 4, 2007	Jun 1, 2009	no	NEW BRUNSWICK, NJ	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
PRUCO SECURITIES, LLC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Jan 2, 2025	Apr 7, 2025	95	Firm change	Other
MORGAN STANLEY	PRUCO SECURITIES, LLC	Apr 3, 2014	Nov 19, 2014	230	Firm change	Other
CITIGROUP GLOBAL MARKETS INC.	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other

Relationships

Registered with (4)

→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Apr 7, 2025 to presentfactForm ADV
→ PRUCO SECURITIES, LLCRegistered adviserregistration: previous registration
Nov 19, 2014 to Jan 2, 2025factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 3, 2014factForm ADV
→ CITIGROUP GLOBAL MARKETS INC.Registered adviserregistration: previous registration
Dec 4, 2007 to Jun 1, 2009factForm ADV

Dated events

Occurred
Jan 2, 2025
Advisor changed firm
Suzana Romine left Pruco Securities, Llc for Transamerica Financial Advisors, Llc (registered 2025-04-07)
Form ADVobserved 6 days ago