BM
Brian Moland
Some features on this profile are disabled
CRD#: 1278987
BM
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.
Brian Moland, who also goes by Brian Keith Moland, was a registered financial professional .
Brian is a previously registered financial professional and started their career in finance in 1984. Brian had worked at 7 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Brian Keith Moland
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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Netlaw/0420-Present / Investment Related: No/149 W Yokuts Ave. Suite B. Stockton, CA 95207/ referral Representative Services / Estate Planning Services/ Hrs Work Monthly: 5/ Sec Trading Hrs: 0/ Refer individuals and families to new law for estate planning services. Netlaw provides Estate Planning for individuals and families. Their services includes Last Wills and Testament, Living Trust and Million Dollar baby trust LegalShield / 0520-Present / Investment Related: No / One Pre-paid Way Ada, OH 74820 / Agent/ Legal plan memberships / Hrs Work Monthly: 3 / Sec Trading Hrs: 1 / provide legal plan memberships and identity theft memberships to individuals, companies and employer benefit groups COLLEGE QUEST/Investment Related - No/9244 Herbon Way, Elk Grove, CA 95758/College Quest is an organization with two objectives: (1) To increase the number of students that go on to pursue a college education and (2) To help them to graduate from college with as little debt as possible. We coach parents so that they can help their children succeed. The Services include: Parent coaching College and career exploration financial aid education/Director of Financial Aid and Outreach/09.17/128/60/My job is to help parents and students find ways to pay for college, to introduce students to a variety of potential future career paths and to help students gain admission to all types of colleges and university.I will coach parents and students on how to qualify for federal student aid, how to search for outside scholarships and grants, and enlighten children to various types of extracurricular activities that promote successful admission to colleges.As stated to me by the instructors of the Jon Barnato KELLER WILLIAMS REALTY-kw Sac Metro/Investment Related - No/4080 Truxel Rd. Ste.100 Sacramento, CA 95834/My agreement states that a referral associate will be fully licensed with that state of California department of real estate and may only REFER real estate clients to licensed realtors. They will not engage in the act of representing any clients in any real estate transaction./Referral Associates/05.2018/5/1/Referral associate. Refers individuals to licensed agent to transact real estate transaction. See attached Summary under Keller Williams Realty-Natomas Commission amp; Expense Structure for Referral Associates. NOTARY PUBLIC/Investment Related - No/9244 Herbon Way, Elk Grove, CA 95758/Notarizing documents/Notary public/04.2017/1/1/Notarizing documents KEY LIME PIES BY BRIAN, MARINE CORPS VETERAN/Investment Related - No/9244 Herbon Way, Elk Grove, CA 95758/Bake and sell or give pies away./Baker/09.2019/3/0/Bake, donate or sale pies ADAMS CONSTRUCTION/CUSTOM DESIGNS POSITION: Quasi apprenticeship NATURE: Constuction labor INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 01/02/2023 ADDRESS: 8594 Spiceberry Way, Sacramento CA 95624, United States DESCRIPTION: Follow general contractors' lead, performing odd jobs, cost out projects, demo, prep, clean up, and working with various tools and power equipment.
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
October 24, 2022 - August 19, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
GOLD RIVER, CA
Past
September 9, 2019 - August 19, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GOLD RIVER, CA
Past
May 13, 2016 - September 25, 2017
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ELK GROVE, CA
Past
January 10, 2000 - May 13, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ELK GROVE, CA
Past
November 24, 1998 - December 31, 1999
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
August 7, 1995 - November 19, 1998
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
September 21, 1993 - December 31, 1994
INTERPACIFIC INVESTORS SERVICES, INC.
BD
CRD#: 4879
SEATTLE, WA
Past
February 14, 1990 - September 3, 1991
NEW ENGLAND SECURITIES
BD
CRD#: 615
NEW YORK, NY
Past
October 8, 1986 - June 6, 1989
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
Past
August 8, 1984 - September 10, 1986
CENTURY INVESTORS OF AMERICA, INC.
BD
CRD#: 5322
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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
