GC
Grace Campbell
TRANSAMERICA FINANCIAL ADVISORS
SAN LEANDRO, CA
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CRD#: 1449227
GC
Professional summary
Grace Campbell, who also goes by Grace Lim, Grace Limcampbell, Grace Lim, Grace Lim-campbell, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in San Leandro, California.
Grace is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1986. Grace has worked at 4 firms and has passed the Series 63, Series 65, Series 6TO, SIE, Series 6 and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Grace Lim | Grace Limcampbell | Grace Lim | Grace Lim-Campbell
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. Net Law Group Inc. /0627 -Present / Investment Related: No / 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243/ Referral Partner / Estate Planning / Hrs. Work Monthly: 2 / Sec Trading Hrs: 0 / I will be occasionally referring clients that need estate planning services to them. . INHERITGUARD LLC POSITION: N/A None NATURE: Providing bundled professional services with emphasis on estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 07/05/2024 ADDRESS: 30 N Gould St, Ste 41954, Sheridan WY 82801, United States DESCRIPTION: Client communications, follow up with client issues, provide education on estate planning issues, schedule appointments.
CRS (Client Relationship Summary) - RIA
Click below to view Grace Campbell's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Grace Campbell's 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®
NoneExperience
Current
October 26, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
SAN LEANDRO, CA
Current
December 7, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 16870 W. Bernardo Dr., San Diego, CA 92127RIA
BD
CRD#: 16164
San Diego, CA
Past
September 19, 1997 - March 9, 1999
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
May 31, 1989 - November 27, 1989
RICHFIELD SECURITIES, INC.
BD
CRD#: 16109
Past
February 19, 1986 - June 27, 1987
BA INVESTMENT SERVICES, INC.
BD
CRD#: 12965
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
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
IAR
California(10/26/2021)
RR
California(12/7/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/7/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
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)
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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
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.
