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RIA / WealthAdvisordual registered (broker-dealer)36 years in industry

Thomas Alan Graber

Advisor at TRANSAMERICA FINANCIAL ADVISORS, LLC

Cedar Rapids, IA | Berkeley, CA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:28 AM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 2
On other graphs: 0
Observed: Jan 5, 2004 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: Dec 4, 1989earliest registration or exam on IAPD
Years in industry: 36derivedfrom the industry start date
Years at current firm: 1derivedfrom the current registration's begin date
Prior firms: 8
Current registrations: 1
Registered states: 2
Exams: S65|S63
First exam: Dec 4, 1989
First registration: Jan 5, 2004
Dual registered: yes, broker-dealer
Other names: THOMAS GRABER|TOM GRABER|THOMAS ALAN GRABER|TOM GRABER
IAPD individual key: 2008052

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	Aug 15, 2025	n/a	yes	Berkeley, CA\|Cedar Rapids, IA	Current employment
CADARET GRANT & CO INC	Former SEC adviser	Mar 18, 2024	Aug 1, 2025	no	SYRACUSE, NY\|Syracuse, NY\|Berkeley, CA	Previous registration
RBC CAPITAL MARKETS, LLC	National bd RIA	Sep 24, 2019	Jan 18, 2023	no	SAN FRANCISCO, CA	Previous registration
U.S. BANCORP ADVISORS, LLC	Bd affiliated wealth	Jan 30, 2019	Sep 9, 2019	no	WALNUT CREEK, CA\|DANVILLE, CA\|SAN RAMON, CA\|VALLEJO, CA\|PLEASANT HILL, CA\|HAYWARD, CA\|PLEASANTON, CA\|SAN RAMON, CA\|ALAMO, CA\|PLEASANTON, CA\|SAN FRANCISCO, CA\|SAN RAFAEL, CA\|SONOMA, CA\|SAN RAFAEL, CA	Previous registration
PROSPERA FINANCIAL SERVICES, INC.	Bd affiliated wealth	Jan 9, 2017	Jul 2, 2018	no	DALLAS, TX\|SAN FRANCISCO, CA\|San Francisco, CA	Previous registration
ASSEMBLY WEALTH	Independent wealth	Aug 11, 2014	May 31, 2018	no	MILL VALLEY, CA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jan 1, 2008	Jul 25, 2014	no	WALNUT CREEK, CA\|SAN FRANCISCO, CA	Previous registration
A. G. EDWARDS & SONS, INC.	n/a	Aug 28, 2006	Jan 1, 2008	no	ST. LOUIS, MO\|WALNUT CREEK, CA	Previous registration
CETERA INVESTMENT ADVISERS LLC	Bd affiliated wealth	Jan 5, 2004	Jun 1, 2004	no	OAKLAND, 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
CADARET GRANT & CO INC	TRANSAMERICA FINANCIAL ADVISORS, LLC	Aug 1, 2025	Aug 15, 2025	14	Firm change	Ibd to ibd
RBC CAPITAL MARKETS, LLC	CADARET GRANT & CO INC	Jan 18, 2023	Mar 18, 2024	425	Firm change after gap	Ibd to ibd
U.S. BANCORP ADVISORS, LLC	RBC CAPITAL MARKETS, LLC	Sep 9, 2019	Sep 24, 2019	15	Firm change	Ibd to ibd
PROSPERA FINANCIAL SERVICES, INC.	U.S. BANCORP ADVISORS, LLC	Jul 2, 2018	Jan 30, 2019	212	Firm change	Other
ASSEMBLY WEALTH	PROSPERA FINANCIAL SERVICES, INC.	May 31, 2018	Jan 9, 2017	-507	Firm change after gap	Other
WELLS FARGO ADVISORS	ASSEMBLY WEALTH	Jul 25, 2014	Aug 11, 2014	17	Firm change	Other
A. G. EDWARDS & SONS, INC.	WELLS FARGO ADVISORS	Jan 1, 2008	Jan 1, 2008	0	Bulk transfer	Other
CETERA INVESTMENT ADVISERS LLC	A. G. EDWARDS & SONS, INC.	Jun 1, 2004	Aug 28, 2006	818	Firm change after gap	Other

Relationships

Registered with (9)

→ TRANSAMERICA FINANCIAL ADVISORS, LLCRegistered adviserregistration: current employment
Aug 15, 2025 to presentfactForm ADV
→ CADARET GRANT & CO INCRegistered adviserregistration: previous registration
Mar 18, 2024 to Aug 1, 2025factForm ADV
→ RBC CAPITAL MARKETS, LLCRegistered adviserregistration: previous registration
Sep 24, 2019 to Jan 18, 2023factForm ADV
→ U.S. BANCORP ADVISORS, LLCRegistered adviserregistration: previous registration
Jan 30, 2019 to Sep 9, 2019factForm ADV
→ PROSPERA FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jan 9, 2017 to Jul 2, 2018factForm ADV
→ ASSEMBLY WEALTHRegistered adviserregistration: previous registration
Aug 11, 2014 to May 31, 2018factForm ADV
→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Jan 1, 2008 to Jul 25, 2014factForm ADV
→ A. G. EDWARDS & SONS, INC.Registered adviserregistration: previous registration
Aug 28, 2006 to Jan 1, 2008factForm ADV
→ CETERA INVESTMENT ADVISERS LLCRegistered adviserregistration: previous registration
Jan 5, 2004 to Jun 1, 2004factForm ADV

Dated events

Occurred
Aug 1, 2025
Advisor changed firm
Thomas Alan Graber left Cadaret Grant & Co Inc for Transamerica Financial Advisors, Llc (registered 2025-08-15)
Form ADVobserved 5 days ago
Occurred
Jan 18, 2023
Advisor changed firm
Thomas Alan Graber left Rbc Capital Markets, Llc for Cadaret Grant & Co Inc (registered 2024-03-18)
Form ADVobserved 5 days ago