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VM

Veronica Malone

TRANSAMERICA RETIREMENT ADVISORS
Hanover, PA
Some features on this profile are disabled
CRD#: 2346913
VM

Professional summary

Veronica Malone, who also goes by Veronica Ann Gettys, Veronica Ann Henry, Veronica Ann Malone, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Hanover, Pennsylvania and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Veronica is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1993. Veronica has worked at 11 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Veronica Ann Gettys | Veronica Ann Henry | Veronica Ann Malone

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) - RIA

Click below to view Veronica Malone'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®
None

Experience

Current

June 25, 2021 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Hanover, PA
Current

June 24, 2021 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
Harrison, NY
Past

January 9, 2019 - June 5, 2020

VOYA FINANCIAL ADVISORS, INC.

BD
CRD#: 2882
SPRING GROVE, PA
Past

July 18, 2018 - January 10, 2019

PRINCIPAL SECURITIES, INC.

BD
CRD#: 1137
Wayne, PA
Past

July 16, 2007 - April 12, 2017

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
HARRISON, NY
Past

July 26, 2005 - August 9, 2006

IFMG SECURITIES, INC.

BD
CRD#: 14416
PURCHASE, NY
Past

October 15, 2002 - July 21, 2005

STATE FARM VP MANAGEMENT CORP.

BD
CRD#: 43036
BLOOMINGTON, IL
Past

February 13, 2001 - July 12, 2002

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
ST. LOUIS, MO
Past

May 17, 2000 - August 21, 2000

METROPOLITAN LIFE INSURANCE COMPANY

BD
CRD#: 4095
NEW YORK, NY
Past

May 17, 2000 - August 21, 2000

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
SPRINGFIELD, MA
Past

September 29, 1999 - May 11, 2000

GBS RETIREMENT SERVICES, INC.

BD
CRD#: 34889
ROLLING MEADOWS, IL
Past

August 13, 1993 - September 27, 1999

CITISTREET EQUITIES LLC

BD
CRD#: 7447
SOMERSET, 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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)

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
Pennsylvania
(6/25/2021)
IAR
Pennsylvania
(6/25/2021)

Exams

State Security Law Exam
IAR
Series 65
Date: 2/27/2021
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/16/1993
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 6
Date: 8/10/1993
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)
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Contact information

Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2025
Cover Page
Report
10/25/2024
Cover Page
Report
07/25/2023
Cover Page
Report

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 RETIREMENT ADVISORS, LLC

CRD#: 107319Hanover, PA

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