Jay M. Vavra
Professional summary
Jay Matthew Vavra is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Saint Paul, Minnesota.
Jay is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Jay has worked at 25 firms and has passed the Series 66, Series 63, Series 79TO, SIE, Series 7, Series 6, Series 10 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Jay Matthew Vavra's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jay Matthew Vavra's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 4, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 2, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6400 C St Sw, Cedar Rapids, IA 52499July 10, 2023 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
July 10, 2023 - August 1, 2025
WESTERN INTERNATIONAL SECURITIES, INC.
July 10, 2023 - August 1, 2025
SORRENTO PACIFIC FINANCIAL, LLC
July 10, 2023 - August 1, 2025
NEXT FINANCIAL GROUP, INC.
July 10, 2023 - August 1, 2025
CUSO FINANCIAL SERVICES, L.P.
July 10, 2023 - August 1, 2025
CADARET, GRANT & CO., INC.
April 26, 2023 - July 18, 2023
EDWARD JONES
April 26, 2023 - July 18, 2023
EDWARD JONES
January 12, 2022 - April 6, 2023
LINCOLN INVESTMENT
January 12, 2022 - April 6, 2023
LINCOLN INVESTMENT
July 21, 2021 - December 21, 2021
LPL FINANCIAL LLC
July 21, 2021 - December 21, 2021
LPL FINANCIAL LLC
August 21, 2013 - July 21, 2021
WADDELL & REED
August 14, 2013 - July 21, 2021
WADDELL & REED
April 3, 2013 - July 16, 2013
GRADIENT ADVISORS, LLC
April 3, 2013 - July 16, 2013
GRADIENT SECURITIES, LLC
February 15, 2012 - January 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
February 1, 2012 - January 3, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
April 14, 2008 - March 25, 2011
WORKMAN SECURITIES CORPORATION
April 10, 2008 - March 25, 2011
WORKMAN SECURITIES CORPORATION
August 28, 2006 - April 14, 2008
ALLSTATE FINANCIAL SERVICES, LLC
December 6, 2005 - August 14, 2006
METROPOLITAN LIFE INSURANCE COMPANY
December 6, 2005 - August 14, 2006
MSI FINANCIAL SERVICES, INC.
July 25, 2002 - December 31, 2005
CITISTREET EQUITIES LLC
April 13, 2001 - December 31, 2001
SLD AMERICA EQUITIES, INC.
February 9, 2001 - April 19, 2002
VOYA FINANCIAL ADVISORS, INC.
June 25, 1998 - June 30, 2000
VOYA FINANCIAL ADVISORS, INC.
October 12, 1995 - May 18, 1998
WOODBURY FINANCIAL SERVICES, INC.
April 7, 1994 - August 23, 1995
WELLS FARGO BROKERAGE SERVICES, L.L.C.
September 26, 1991 - April 7, 1994
IDS LIFE INSURANCE COMPANY
September 26, 1991 - April 7, 1994
AMERIPRISE FINANCIAL SERVICES, LLC
August 22, 1991 - September 27, 1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
August 22, 1991 - September 27, 1991
PRUCO SECURITIES, LLC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/2/2025)
(9/8/2025)
(9/2/2025)
(9/4/2025)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
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.
