Joseph S. Livesay
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.
Joseph Stewart Livesay, CFP®, who also goes by Joe Livesay, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1986. Joseph had worked at 16 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 14, 2015 - October 27, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
September 14, 2015 - October 27, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
February 26, 2013 - October 21, 2013
ALLSTATE FINANCIAL ADVISORS, LLC
February 26, 2013 - October 21, 2013
ALLSTATE FINANCIAL SERVICES, LLC
January 13, 2012 - December 6, 2012
WELLS INVESTMENT SECURITIES,INC.
May 5, 2011 - January 5, 2012
ZIONS DIRECT, INC.
April 13, 2011 - January 5, 2012
ZIONS CAPITAL ADVISORS, INC.
June 12, 2008 - October 25, 2010
TRANSAMERICA CAPITAL, LLC
August 29, 2006 - January 19, 2007
U.S. BANCORP INVESTMENTS, INC.
May 31, 2006 - January 19, 2007
U.S. BANCORP INVESTMENTS, INC.
April 14, 2004 - May 18, 2006
TRANSAMERICA CAPITAL, LLC
October 10, 2001 - March 25, 2004
TRANSAMERICA FINANCIAL ADVISORS, LLC
March 17, 1999 - August 3, 2001
U.S. BANCORP INVESTMENTS, INC.
January 28, 1998 - March 1, 1999
FIRST SECURITY INVESTOR SERVICES, INC.
August 19, 1996 - March 7, 1997
WELLS FARGO SECURITIES INC.
August 21, 1995 - August 19, 1996
FIRST INTERSTATE INVESTMENTS,INC.
June 3, 1993 - November 17, 1995
ESSEX NATIONAL SECURITIES, LLC
January 21, 1992 - June 1, 1993
CUNA BROKERAGE SERVICES, INC.
June 25, 1986 - October 26, 1990
MARKETING ONE SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
