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CB

Craig R. Brockman

Some features on this profile are disabled
CRD#: 2262401
CB

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Craig Reece Brockman was a registered financial professional .

Craig is a previously registered financial professional and started their career in finance in 1993. Craig had worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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

September 11, 2014 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
DALLAS, TX
Past

September 4, 2014 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
DALLAS, TX
Past

January 6, 2012 - December 31, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
PLANO, TX
Past

January 4, 2012 - December 31, 2012

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PLANO, TX
Past

April 15, 2009 - January 3, 2012

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

April 15, 2009 - January 3, 2012

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
PLANO, TX
Past

March 6, 2009 - April 17, 2009

NATIONWIDE SECURITIES, LLC

RIA
CRD#: 11173
PLANO, TX
Past

January 22, 2009 - April 17, 2009

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
PLANO, TX
Past

April 18, 2007 - December 31, 2008

SWBC INVESTMENT COMPANY

RIA
CRD#: 140994
SAN ANTONIO, TX
Past

January 3, 2007 - December 31, 2008

SWBC INVESTMENT SERVICES, LLC

BD
CRD#: 133715
PLANO, TX
Past

January 31, 2006 - December 31, 2006

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
PLANO, TX
Past

January 12, 2006 - December 31, 2006

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
PLANO, TX
Past

September 29, 2005 - December 31, 2005

LEVEL FOUR ADVISORY SERVICES

RIA
CRD#: 134086
PLANO, TX
Past

August 5, 2004 - October 11, 2005

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PLANO, TX
Past

July 15, 2004 - December 31, 2005

SECURITIES AMERICA, INC.

BD
CRD#: 10205
LAVISTA, NE
Past

May 19, 1995 - July 16, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
PLANO, TX
Past

May 19, 1995 - July 16, 2004

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PHILADELPHIA, PA
Past

February 10, 1993 - May 19, 1995

AVANTAX INVESTMENT SERVICES, INC.

BD
CRD#: 13686
DALLAS, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 2/10/2009
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/12/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 12/31/2015
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/13/1994
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 1/18/1993
Investment Company Products/Variable Contracts Representative Examination

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#: 16164

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