James A. Rie
Professional summary
James Alexander Rie, who also goes by Jake Rie, James A Rie, James Rie, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Old Tappen, New Jersey and TRANSAMERICA INVESTORS SECURITIES, LLC located in Palm City, Florida.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. James has worked at 13 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view James Alexander Rie's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 1, 2022 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
June 1, 2022 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
October 19, 2021 - May 19, 2022
VALIC FINANCIAL ADVISORS, INC.
October 6, 2021 - May 19, 2022
VALIC FINANCIAL ADVISORS, INC.
December 14, 2017 - March 9, 2020
MANNING & NAPIER INVESTOR SERVICES, INC.
March 21, 2016 - June 14, 2016
NUVEEN SECURITIES, LLC
April 26, 2012 - March 21, 2016
TEACHERS PERSONAL INVESTORS SERVICES, INC.
February 5, 2000 - February 29, 2012
ALLIANCEBERNSTEIN INVESTMENTS, INC.
May 1, 1998 - January 26, 2000
FIDELITY DISTRIBUTORS COMPANY LLC
November 1, 1996 - April 6, 1998
EATON VANCE DISTRIBUTORS, INC.
January 23, 1996 - November 1, 1996
EATON VANCE DISTRIBUTORS, INC.
July 10, 1995 - December 7, 1995
IFMG SECURITIES, INC.
March 1, 1995 - July 7, 1995
BOFA DISTRIBUTORS, INC.
April 21, 1992 - March 1, 1995
COLONIAL INVESTMENT SERVICES
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/1/2022)
(6/1/2022)
Exams
FINRA
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
Red Flags
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