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TG

Thomas A. Graber

TRANSAMERICA FINANCIAL ADVISORS
Berkeley, CA
Some features on this profile are disabled
CRD#: 2008052
TG

Professional summary

Thomas Alan Graber, who also goes by Thomas Alan Graber, Thomas Graber, Tom Graber, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Berkeley, California.

Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1989. Thomas has worked at 15 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 51, Series 24, Series 10, Series 9 and Series 8 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Thomas Alan Graber | Thomas Graber | Tom Graber

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.
(1) NAME OF ENTITY: BERKELEY TENNIS CLUB; ADDRESS: 1 TUNNEL ROAD BERKELEY, CA 94705; NOT INVESTMENT RELATED; BUSINESS DESCRIPTION: NON-PROFIT ORGANIZATION-TENNIS CLUB; CAPACITY: COMMITTEE/COUNCIL MEMBER; START DATE: 10/2019; DUTIES: FINANCE COMMITTEE MEMBER-MONTHLY MEETINGS; HOURS DEVOTED PER MONTH: LESS THEN 1; HOURS DEVOTED DURING SECURITIES HOURS PER MONTH: 0;

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Thomas Alan Graber's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Thomas Alan Graber's CRS (Customer Relationship Summary).
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®
None

Experience

Current

August 15, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
BD
CRD#: 16164
Berkeley, CA
Current

August 15, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 6400 C St Sw, Cedar Rapids, IA 52499
RIA
BD
CRD#: 16164
Cedar Rapids, IA
Past

March 18, 2024 - August 1, 2025

CADARET, GRANT & CO., INC.

RIA
CRD#: 10641
Berkeley, CA
Past

March 18, 2024 - August 1, 2025

CADARET, GRANT & CO., INC.

BD
CRD#: 10641
SYRACUSE, NY
Past

September 24, 2019 - January 18, 2023

RBC CAPITAL MARKETS, LLC

RIA
CRD#: 31194
SAN FRANCISCO, CA
Past

September 24, 2019 - January 18, 2023

RBC CAPITAL MARKETS, LLC

BD
CRD#: 31194
SAN FRANCISCO, CA
Past

January 30, 2019 - September 9, 2019

U.S. BANCORP ADVISORS, LLC

RIA
CRD#: 14455
WALNUT CREEK, CA
Past

January 30, 2019 - September 9, 2019

U.S. BANCORP ADVISORS, LLC

BD
CRD#: 14455
WALNUT CREEK, CA
Past

January 9, 2017 - July 2, 2018

PROSPERA FINANCIAL SERVICES, INC.

RIA
CRD#: 10740
San Francisco, CA
Past

August 11, 2014 - May 31, 2018

ASSEMBLY WEALTH

RIA
CRD#: 108834
SAN FRANCISCO, CA
Past

August 1, 2014 - July 2, 2018

PROSPERA FINANCIAL SERVICES, INC.

BD
CRD#: 10740
San Francisco, CA
Past

January 1, 2008 - July 25, 2014

WELLS FARGO CLEARING SERVICES, LLC

RIA
CRD#: 19616
SAN FRANCISCO, CA
Past

January 1, 2008 - July 25, 2014

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
SAN FRANCISCO, CA
Past

August 28, 2006 - January 1, 2008

A. G. EDWARDS & SONS, INC.

RIA
CRD#: 4
WALNUT CREEK, CA
Past

March 23, 2006 - January 3, 2008

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
WALNUT CREEK, CA
Past

January 5, 2004 - June 1, 2004

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
OAKLAND, CA
Past

December 17, 2003 - June 1, 2004

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
SCHAUMBURG, IL
Past

September 24, 1997 - January 10, 2002

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

August 4, 1997 - August 14, 1997

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
LONG ISLAND CITY, NY
Past

December 7, 1994 - September 6, 1995

ASB FINANCIAL SERVICES

BD
CRD#: 24280
IRVINE, CA
Past

July 31, 1993 - December 20, 1994

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

November 22, 1989 - July 31, 1993

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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
(8/15/2025)
RR
California
(8/18/2025)
IAR
Iowa
(8/18/2025)
RR
Iowa
(8/19/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 10/21/1991
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/4/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 7/2/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 1/29/1990
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 11/18/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 51
Date: 8/18/2025
Municipal Fund Securities Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/13/2018
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 10
Date: 10/13/2008
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 8/11/2008
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 8
Date: 3/12/1998
General Securities Sales Supervisor Examination (Options Module & General Module)
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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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#: 16164Berkeley, CA

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