Zoltan Adam

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CRD#: 1370622

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.

Zoltan Adam was a registered financial professional .

Zoltan is a previously registered financial professional and started their career in finance in 1985. Zoltan had worked at 19 firms and has passed the Series 63, Series 3, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

January 6, 2012 - November 14, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

NEW YORK, NY

Past

October 19, 2011 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

NEW YORK, NY

Past

August 3, 2009 - December 15, 2009

SEAPINE SECURITIES, LLC

CRD#: 143463

OLD GREENWICH, CT

Past

July 9, 2008 - June 25, 2009

SCOTT & STRINGFELLOW, LLC

CRD#: 6255

NEW YORK, NY

Past

January 27, 2006 - June 4, 2007

PNC CAPITAL MARKETS LLC

CRD#: 15647

NEW YORK, NY

Past

October 30, 2002 - January 6, 2006

ALLY SECURITIES LLC

CRD#: 25988

NEW YORK, NY

Past

May 14, 2002 - October 16, 2002

NEWEDGE USA, LLC

CRD#: 36118

CHICAGO, IL

Past

May 29, 2001 - November 5, 2001

BONDBOOK, LLC

CRD#: 104209

NEW YORK, NY

Past

October 12, 2000 - June 25, 2001

TRUMARKETS, LLC

CRD#: 103872

NEW YORK, NY

Past

February 24, 1998 - May 15, 2000

HARRIS NESBITT CORP.

CRD#: 7299

CHICAGO, IL

Past

August 1, 1996 - December 8, 1997

YAMAICHI INTERNATIONAL (AMERICA) INC.

CRD#: 909

NEW YORK, NY

Past

November 8, 1995 - January 22, 1996

TUCKER ANTHONY INCORPORATED

CRD#: 837

BOSTON, MA

Past

November 17, 1993 - June 9, 1995

BARCLAYS CAPITAL INC.

CRD#: 19714

NEW YORK, NY

Past

December 4, 1989 - May 21, 1991

CIBC WORLD MARKETS CORP.

CRD#: 630

NEW YORK, NY

Past

December 23, 1988 - July 25, 1989

U.S. LEAGUE SECURITIES, INC.

CRD#: 14544

Past

December 23, 1988 - July 25, 1989

U.S. LEAGUE GOVERNMENT SECURITIES, INC.

CRD#: 19720

Past

April 4, 1988 - September 23, 1988

MABON, NUGENT & CO.

CRD#: 2617

Past

July 25, 1987 - October 29, 1987

PAINEWEBBER REAL ESTATE SECURITIES INC.

CRD#: 19736

Past

May 21, 1985 - April 12, 1988

UBS FINANCIAL SERVICES INC.

CRD#: 8174

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.

Visual representation of state registrations

This advisor is not registered in any state.

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: 1/21/1994

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 11/21/1994

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 11/27/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 3/23/2006

General Securities Principal Examination

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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Advisor Monitoring

Firm Stability Insights

Zoltan Adam

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WORLD GROUP SECURITIES, INC.

SEAPINE SECURITIES, LLC

SCOTT & STRINGFELLOW, LLC

PNC CAPITAL MARKETS LLC

ALLY SECURITIES LLC

NEWEDGE USA, LLC

BONDBOOK, LLC

TRUMARKETS, LLC

HARRIS NESBITT CORP.

YAMAICHI INTERNATIONAL (AMERICA) INC.

TUCKER ANTHONY INCORPORATED

BARCLAYS CAPITAL INC.

CIBC WORLD MARKETS CORP.

U.S. LEAGUE SECURITIES, INC.

U.S. LEAGUE GOVERNMENT SECURITIES, INC.

MABON, NUGENT & CO.

PAINEWEBBER REAL ESTATE SECURITIES INC.

UBS FINANCIAL SERVICES INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 1/21/1994

Series 3

Date: 11/21/1994

Series 7

Date: 11/27/1993

Series 24

Date: 3/23/2006

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

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