Ben T. Rodman
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ben Toliver Rodman, who also goes by Ben T Rodman, Ben Toliver Rodman, was a registered financial professional .
Ben is a previously registered financial professional and started their career in finance in 1984. Ben had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 24, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 30, 2019 - June 10, 2025
TRANSAMERICA RETIREMENT ADVISORS, LLC
January 30, 2019 - June 10, 2025
TRANSAMERICA INVESTORS SECURITIES, LLC
February 9, 2016 - March 8, 2018
SCOTTRADE INVESTMENT MANAGEMENT
February 3, 2016 - March 8, 2018
SCOTTRADE, INC.
August 1, 2002 - June 19, 2015
CHARLES SCHWAB & CO., INC.
August 1, 2002 - June 19, 2015
CHARLES SCHWAB & CO., INC.
February 19, 1998 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 3, 1988 - May 22, 2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 25, 1987 - February 1, 1989
LEHMAN GOVERNMENT SECURITIES INC.
September 15, 1986 - September 28, 1988
LEHMAN BROTHERS INC.
August 22, 1984 - May 27, 1986
OPPENHEIMER ASSET MANAGEMENT CORPORATION
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 1/23/1990
Interest Rate Options ExaminationCurrent Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
