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JW

James T. Wasserman

CRD#: 1947949
Some features on this profile are disabled
JW
James Thomas Wasserman

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 Thomas Wasserman, who also goes by James Thomas Wasserman Jr, James Thomas Wasserman, James Wasserman, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1989. James had worked at 10 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

James Thomas Wasserman Jr | James Thomas Wasserman | James Wasserman

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

January 10, 2025 - April 29, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Waunakee, WI
Past

January 22, 2019 - May 3, 2022

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
NEWPORT NEWS, VA
Past

January 3, 2019 - May 3, 2022

CETERA INVESTMENT SERVICES LLC

BD
CRD#: 15340
Newport News, VA
Past

June 8, 2018 - January 18, 2019

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
NORTH CHESTERFIELD, VA
Past

June 7, 2018 - January 18, 2019

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
NORTH CHESTERFIELD, VA
Past

October 12, 2017 - November 10, 2017

HORNOR, TOWNSEND & KENT, LLC

RIA
CRD#: 4031
SOUTHFIELD, MI
Past

January 26, 2017 - November 10, 2017

HORNOR, TOWNSEND & KENT, LLC

BD
CRD#: 4031
SOUTHFIELD, MI
Past

November 24, 2015 - March 29, 2016

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
TROY, MI
Past

August 18, 2015 - March 29, 2016

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
TROY, MI
Past

March 2, 2011 - June 6, 2011

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
HARPER WOODS, MI
Past

February 2, 2011 - June 6, 2011

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
HARPER WOODS, MI
Past

August 24, 2004 - March 16, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

RIA
CRD#: 6363
MINNEOLA, FL
Past

August 9, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

August 9, 2004 - March 16, 2010

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEOLA, FL
Past

January 24, 1994 - March 30, 1995

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

January 26, 1993 - January 26, 1994

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

January 26, 1993 - January 26, 1994

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN
Past

July 18, 1989 - June 16, 1992

IDS LIFE INSURANCE COMPANY

BD
CRD#: 6321
MINNEAPOLIS, MN
Past

July 18, 1989 - June 16, 1992

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
MINNEAPOLIS, MN

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/18/2015
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 5/22/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/18/2015
General Securities Representative Examination

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

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

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

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.

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

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