DB
Daniel Brown
TRANSAMERICA FINANCIAL ADVISORS
NEW YORK, NY 10022
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CRD#: 2289454
DB
Professional summary
Daniel Brown is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in New York, New York.
Daniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Daniel has worked at 7 firms and has passed the Series 63, Series 65, Series 66, Series 6TO, SIE, Series 7, Series 6, Series 10, Series 9 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc ANAJ ENTERPRISES INC/NO/790 CONCOURSE VILLAGE WEST SUITE 1BK.BRONX, NY 10451/TAX PREP AND ACOUNTING SERVICES/ADMINSTRATION/02.2019/80/80/ENSURING THE OFFICE BUSINESS PROCESSES WERE MAINTAINED
CRS (Client Relationship Summary) - RIA
Click below to view Daniel Brown's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Daniel Brown's 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®
NoneExperience
Current
March 31, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 485 Madison Avenue #746, New York, NY 10022RIA
BD
CRD#: 16164
NEW YORK, NY
Current
April 11, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 485 Madison Avenue #746, New York, NY 10022RIA
BD
CRD#: 16164
NEW YORK, NY
Past
September 15, 2008 - October 5, 2010
EDWARD JONES
RIA
CRD#: 250
ROCKVILLE CENTRE, NY
Past
July 21, 2008 - October 5, 2010
EDWARD JONES
BD
CRD#: 250
ROCKVILLE CENTRE, NY
Past
June 8, 2006 - May 14, 2008
HSBC SECURITIES (USA) INC.
RIA
CRD#: 19585
BROOKLYN, NY
Past
January 1, 2005 - May 14, 2008
HSBC SECURITIES (USA) INC.
BD
CRD#: 19585
BROOKLYN, NY
Past
June 19, 2000 - January 1, 2005
HSBC BROKERAGE (USA) INC.
BD
CRD#: 6956
NEW YORK, NY
Past
March 23, 1999 - June 19, 2000
REPUBLIC FINANCIAL SERVICES CORPORATION
BD
CRD#: 38293
NEW YORK, NY
Past
April 11, 1996 - March 19, 1999
DIME SECURITIES, INC.
BD
CRD#: 28955
BROOKLYN, NY
Past
October 30, 1992 - October 16, 1995
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.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
Georgia(3/21/2024)
IAR
New York(3/31/2022)
RR
New York(4/12/2022)
RR
Pennsylvania(7/24/2024)
IAR
Pennsylvania(10/3/2024)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 4/11/2022
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
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)
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.
