EM
Eric M. Mcarthur
TRANSAMERICA FINANCIAL ADVISORS
Pensacola, FL 32502
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CRD#: 1634912
EM
Professional summary
Eric Mark Mcarthur is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Pensacola, Florida.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1987. Eric has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Pinnacle Financial Services / 0222-Present / Investment Related: No / 65 W. Street Rd. A-101 Warminster, PA 18974 / Agent / Medicare Ins. / Hrs. Work Monthly: 10 / Sec Trading Hrs: 2 / I will be talking to people about Medicare and getting them involved with the Medicare products. AARP United health Care Medicare Plans / 0320-Present/ Investment Related: No/35784 Lakeland Blvd. Unit 1, Eastlake, OH 44095/Insurance Agent/Medicare Insurance/ Hrs Work Monthly: 40 / Sec Trading Hrs: / Contact individuals who are medicare eligible. Discuss their unique health care needs and provide information about AARP united health care plans that are available to them Eusurian Agency; Investment Related/No; 990 Hammond Dr. Sandy Springs, GA 30328; Securities Trading; Agent 12/01/2019; Hrs/month 25; Hrs during securities trading 3; I will be talking with people about their health plans and saving them money on what they currently have NET LAW/NO/12910 SHELBYVILLE RD, LOUISVILLE, KY 40243/THIS COMPANY DOES DOCUMENTS TO DO THERE WILLS, TRUST,POA'S, MEDICAL POA'S AND HIPPA FORMS/AGENT/02/12/2019/30/2/I TALK TO CLIENTS WHEN I DO THERE FNA'S AS PART OF THERE OVER ALL ESTATE PLAN. LINQQS POSITION: Agent NATURE: Covid Relief financial services INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 4 START DATE: 08/14/2023 ADDRESS: 2485 Village View Dr., Suite 190, Henderson NV 89074, United States DESCRIPTION: I will be making calls, sending out emails, prospecting new clients for the employee retention credit.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Mark Mcarthur's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Mark Mcarthur'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3 W Garden St. Suite 349, Pensacola, FL 32502RIA
BD
CRD#: 16164
Pensacola, FL
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3 W Garden St. Suite 349, Pensacola, FL 32502RIA
BD
CRD#: 16164
Pensacola, FL
Past
November 14, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
CINCINNATI, OH
Past
June 27, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
CINCINNATI, OH
Past
February 1, 2010 - May 16, 2011
WORKMAN SECURITIES CORPORATION
BD
CRD#: 31898
XENIA, OH
Past
November 5, 2007 - July 15, 2009
UNITED EQUITY SECURITIES, LLC
BD
CRD#: 47261
HUSTON, TX
Past
February 24, 2006 - October 18, 2007
CCF INVESTMENTS, INC.
BD
CRD#: 136571
XENIA, OH
Past
May 17, 2002 - December 31, 2005
THE LEADERS GROUP, INC.
BD
CRD#: 37157
SUMMIT, NJ
Past
June 8, 1987 - February 12, 2002
PFS INVESTMENTS INC.
BD
CRD#: 10111
DULUTH, GA
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
RR
Florida(1/6/2012)
IAR
Florida(4/6/2021)
RR
Ohio(1/6/2012)
IAR
Ohio(1/6/2012)
RR
Pennsylvania(2/2/2022)
RR
Texas(7/3/2024)
IAR
Texas(7/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
