Tony A. Sandifer

TRANSAMERICA FINANCIAL ADVISORS

Saint Louis, MO 63117

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CRD#: 1258848

Professional summary

Tony A Sandifer, who also goes by Tony Alan Sandifer, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Saint Louis, Missouri.

Tony is registered as a RR (Registered Representative) and started their career in finance in 1985. Tony has worked at 5 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Tony Alan Sandifer

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tony A Sandifer's CRS (Customer Relationship Summary).

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®

None

Experience

Current

December 23, 2021 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 1034 Brentwood Blvd. Suite 1450, Saint Louis, MO 63117

RIA

CRD#: 16164

Saint Louis, MO

Past

June 10, 2003 - January 20, 2022

ONEAMERICA SECURITIES, INC.

CRD#: 4173

Maryland Heights, MO

Past

January 29, 2001 - July 18, 2003

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

October 8, 1986 - January 25, 2001

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SPRINGFIELD, MA

Past

January 30, 1985 - January 25, 2001

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

NEW YORK, NY

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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

Florida
(7/29/2024)

Illinois
(12/23/2021)

Missouri
(12/23/2021)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/26/1986

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/29/1985

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/8/2003

Investment Company Products/Variable Contracts Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Firm Stability Insights

Tony A. Sandifer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Tony A Sandifer's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONEAMERICA SECURITIES, INC.

PARK AVENUE SECURITIES LLC

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/26/1986

SIE

Date: 10/1/2018

Series 6

Date: 1/29/1985

Series 26

Date: 10/8/2003

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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