Claire V. Fernandez

TRANSAMERICA FINANCIAL ADVISORS

Gold River, CA 95670

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CRD#: 1390207

Professional summary

Claire Van Niekerken Fernandez, who also goes by Claire Louise Fernandez Mrs, Claire Louise Fernandez, Claire Van Niekerken Fernandez, Claire L Petroff, Claire Louise Petroff, Claire Van Niekerken, Claire Louise Vandorne, Claire Louise Vanniekerken, Claire Vanniekerken, Claire Louise Vanniekerken-fernandez, Claire Louise Vanniekerkenpetroff, Claire Louise Vanpetroff, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Gold River, California.

Claire is registered as a RR (Registered Representative) and started their career in finance in 1985. Claire has worked at 8 firms and has passed the Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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 Claire Van Niekerken Fernandez'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

February 26, 2013 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 11344 Coloma Rd Suite 240, Gold River, CA 95670

RIA

CRD#: 16164

Gold River, CA

Past

April 8, 2011 - September 4, 2012

SIGNATOR INVESTORS, INC.

CRD#: 468

WALNUT CREEK, CA

Past

December 13, 2007 - April 19, 2011

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

SACRAMENTO, CA

Past

December 8, 2005 - December 21, 2007

ALLSTATE FINANCIAL SERVICES, LLC

CRD#: 18272

EL DORADO HILLS, CA

Past

February 6, 2003 - September 24, 2004

FISERV INVESTOR SERVICES, INC.

CRD#: 34637

HOUSTON, TX

Past

February 5, 2003 - February 6, 2003

CITICORP INVESTMENT SERVICES

CRD#: 23988

LONG ISLAND CITY, NY

Past

April 6, 1994 - February 5, 2003

CAL FED INVESTMENTS

CRD#: 19631

SACRAMENTO, CA

Past

December 18, 1992 - March 30, 1994

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

Past

August 21, 1985 - January 8, 1991

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, 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

California
(2/26/2013)

Florida
(6/7/2024)

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: 8/30/1985

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1985

General Securities Representative 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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Claire V. Fernandez

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Claire Van Niekerken Fernandez's CRS (Customer Relationship Summary).

Certified licenses

Experience

SIGNATOR INVESTORS, INC.

MSI FINANCIAL SERVICES, INC.

ALLSTATE FINANCIAL SERVICES, LLC

FISERV INVESTOR SERVICES, INC.

CITICORP INVESTMENT SERVICES

CAL FED INVESTMENTS

MORGAN STANLEY DW INC.

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 8/30/1985

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1985

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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