Daniel H. Glick

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CRD#: 2175655

Professional summary

Daniel Howard Glick was barred by both the FINRA and the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Daniel is a previously registered financial advisor and started their career in finance in 1991. Prior to being barred, Daniel had worked at 6 firms, which includes TRANSAMERICA FINANCIAL ADVISORS LLC, WORLD GROUP SECURITIES INC., WORLD EQUITY GROUP INC., WMA SECURITIES INC., WATERSTONE FINANCIAL GROUP INC., CETERA FINANCIAL SPECIALISTS LLC.

Question & Answer

Are you a "fiduciary"?

Aliases

Daniel Howard Click

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 6, 2012 - March 27, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ORLAND PARK, IL

Past

October 26, 2007 - January 6, 2012

WORLD GROUP SECURITIES, INC.

CRD#: 114473

WHEATON, IL

Past

May 18, 2002 - July 31, 2007

WORLD EQUITY GROUP, INC.

RIA

CRD#: 29087

ORLAND PARK, IL

Past

May 17, 2002 - July 31, 2007

WORLD EQUITY GROUP, INC.

CRD#: 29087

ORLAND PARK, IL

Past

April 12, 2002 - May 29, 2002

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

Past

June 20, 1996 - April 12, 2002

WMA SECURITIES, INC.

CRD#: 32625

DULUTH, GA

Past

May 1, 1992 - July 1, 1996

WATERSTONE FINANCIAL GROUP, INC.

CRD#: 10078

BOSTON, MA

Past

September 23, 1991 - May 1, 1992

CETERA FINANCIAL SPECIALISTS LLC

CRD#: 10358

SCHAUMBURG, IL

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/2/1997

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 9/19/1991

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 11/17/1994

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/19/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/28/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Firm Stability Insights

Daniel H. Glick

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

WORLD GROUP SECURITIES, INC.

WORLD EQUITY GROUP, INC.

WORLD EQUITY GROUP, INC.

WORLD GROUP SECURITIES, INC.

WMA SECURITIES, INC.

WATERSTONE FINANCIAL GROUP, INC.

CETERA FINANCIAL SPECIALISTS LLC

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/1997

Series 63

Date: 9/19/1991

Series 7

Date: 11/17/1994

Series 6

Date: 9/19/1991

Series 26

Date: 5/28/1998

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

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