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Herve Thenor-louis

TRANSAMERICA FINANCIAL ADVISORS
NEW YORK, NY 10022
Some features on this profile are disabled
CRD#: 2177174
HT

Professional summary

Herve Thenor-louis, ChFC®, CLU®, who also goes by Herve Thenorlouis, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in New York, New York.

Herve is registered as a RR (Registered Representative) and started their career in finance in 1992. Herve has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Herve Thenorlouis

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.
Name: Herve Thenor-Louis Inv rel: Y Add: 67-38 108 St Apt C7 Forest Hills NY 11375 Nature: NONMMLIA Insurance Brokerage Position: sales Start date: 04/01/2017 No. HR/MO: 10 No. HR/MO during sec trading: 5 Describe duties: Individual life, health

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Herve Thenor-louis'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®
ChFC®

Chartered Financial Consultant

CLU®

Chartered Life Underwriter

Experience

Current

September 26, 2024 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 485 Madison Avenue #746, New York, NY 10022
RIA
BD
CRD#: 16164
NEW YORK, NY
Past

June 14, 2021 - December 22, 2022

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
NEW YORK, NY
Past

May 4, 2018 - December 22, 2022

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
NEW YORK, NY
Past

August 8, 2014 - May 9, 2018

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
WOODBURY, NY
Past

August 16, 2013 - May 9, 2018

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
WOODBURY, NY
Past

March 12, 2010 - September 4, 2013

PARK AVENUE SECURITIES LLC

BD
CRD#: 46173
REGO PARK, NY
Past

July 31, 2002 - March 4, 2010

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
NEW YORK, NY
Past

February 3, 1992 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

February 3, 1992 - March 4, 2010

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
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.

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

RR
New York
(9/26/2024)

Exams

State Security Law Exam
IAR
Series 65
Date: 8/1/2014
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/6/1992
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: 1/10/2001
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/31/1992
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 3/26/2002
General Securities Principal Examination
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#: 16164New York, NY 10022

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