MR
Mark W. Redman
TRANSAMERICA FINANCIAL ADVISORS
ORANGE, CA 92868
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CRD#: 1026426
MR
Professional summary
Mark William Redman is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Orange, California.
Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1982. Mark has worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Wealthwave | WFGIC Co-Brand company | yes investment related | 01/01/2016 | 6475 East Johns Crossing, Johns Creek, GA 30097 | marketing 1)MARK REDMAN INSURANCE; NOT INVESTMENT-RELATED; 765 THE CITY DRIVE SOUTH, ORANGE, CA 92868; INDIVIDUAL AND GROUP LIFE AND HEALTH INSURANCE, MEDICARE SUPPLEMENT, DENTAL AND VISION, ETC.; OWNER AND SALES; 07/01/2006; 4 HRS/MONTH; OWNER AND SALES OF PRODUCTS NOT OFFERED THROUGH WFG AND TFA FROM THE FOLLOWING PROVIDERS. AETNA ANTHEM BLUE CROSS BLUE SHIELD CALCPA CAL CHOICE CIGNA DELTA DENTAL HEALTH NET HSA CALIFORNIA KAISER PERMANENTE KAISER PERMANENTE CHOICE SOLUTION SEECHANGE HEALTH INSURANCE SHARP HEALTH PLAN WESTERN HEALTH ADVANTAGE UNITED HEALTHCARE WORD & BROWN COVERED CALIFORNIA COVEREDCA.COM Net Law Group Inc. / 0420-Present /Investment Related: No/ 765 The City Drive South, Suite 100 Orange, CA 92868/refer clients/ Law Firm / Hrs Work: 4/ Sec trading Hrs: 1 / I refer prospects as needed LEGACY SHIELD POSITION: representative NATURE: Law firm INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/26/2024 ADDRESS: 1 Linscott Road, Woburn MA 01801, United States DESCRIPTION: Refer clients who want to create an estate plan
CRS (Client Relationship Summary) - RIA
Click below to view Mark William Redman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Mark William Redman's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 765 The City Drive S. Suite 100, Orange, CA 92868RIA
BD
CRD#: 16164
ORANGE, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 765 The City Drive S. Suite 100, Orange, CA 92868RIA
BD
CRD#: 16164
ORANGE, CA
Past
July 8, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ORANGE, CA
Past
April 19, 2006 - August 23, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
PHILADELPHIA, PA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ORANGE, CA
Past
June 6, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
November 19, 1991 - June 6, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
January 18, 1982 - November 18, 1991
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(1/6/2012)
RR
California(1/6/2012)
IAR
California(1/6/2012)
RR
Georgia(1/6/2012)
RR
Idaho(1/6/2012)
RR
Massachusetts(1/6/2012)
RR
South Carolina(4/8/2025)
RR
Texas(3/22/2021)
IAR
Texas(3/22/2021)
RR
Utah(1/6/2012)
RR
Washington(1/6/2012)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
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Contact information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
