James R. Clark
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.
James Robert Clark, who also goes by James R Clark, Jim Clark, was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1988. James had worked at 7 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 7, 2013 - December 8, 2017
TRANSAMERICA RETIREMENT ADVISORS, LLC
April 3, 2012 - December 8, 2017
TRANSAMERICA INVESTORS SECURITIES, LLC
November 23, 2011 - March 8, 2012
OSAIC WEALTH, INC.
April 14, 1992 - December 31, 1993
MARINER FINANCIAL SERVICES, INC.
December 4, 1991 - May 7, 1992
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
March 6, 1989 - February 1, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
March 6, 1989 - February 1, 1991
EQUITABLE ADVISORS, LLC
August 11, 1988 - February 21, 1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
August 11, 1988 - February 21, 1989
EQUITABLE ADVISORS, LLC
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.
