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SH

Steven Harris

Some features on this profile are disabled
CRD#: 2440292
SH

Professional summary

Steven Harris was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Steven is a previously registered financial professional and started their career in finance in 2005. Prior to being barred, Steven had worked at 9 firms, which includes TRANSAMERICA FINANCIAL ADVISORS LLC, MML INVESTORS SERVICES LLC, MSI FINANCIAL SERVICES INC., INNOVATION PARTNERS LLC, HARRIS INVESTMENT SERVICES CORPORATION, P.J. ROBB VARIABLE LLC, WADDELL & REED, CHASE INVESTMENT SERVICES CORP., BANC ONE SECURITIES CORPORATION.

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 18, 2018 - May 21, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
BURR RIDGE, IL
Past

August 9, 2018 - May 21, 2019

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
BURR RIDGE, IL
Past

March 25, 2017 - April 20, 2017

MML INVESTORS SERVICES, LLC

RIA
CRD#: 10409
CHICAGO, IL
Past

March 25, 2017 - April 20, 2017

MML INVESTORS SERVICES, LLC

BD
CRD#: 10409
CHICAGO, IL
Past

March 21, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

RIA
CRD#: 14251
CHICAGO, IL
Past

March 18, 2016 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

BD
CRD#: 14251
CHICAGO, IL
Past

January 27, 2014 - May 13, 2014

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

May 3, 2013 - March 29, 2016

HARRIS INVESTMENT SERVICES CORPORATION

RIA
CRD#: 167425
CHICAGO, IL
Past

July 25, 2011 - March 26, 2013

P.J. ROBB VARIABLE, LLC

BD
CRD#: 38339
MEMPHIS, TN
Past

March 3, 2009 - May 17, 2011

WADDELL & REED

RIA
CRD#: 866
EVERGREEN PARK, IL
Past

September 10, 2008 - May 17, 2011

WADDELL & REED

BD
CRD#: 866
EVERGREEN PARK, IL
Past

July 6, 2005 - September 6, 2006

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
CHICAGO, IL
Past

May 12, 2005 - July 6, 2005

BANC ONE SECURITIES CORPORATION

BD
CRD#: 16999
CHICAGO, IL

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
IAR
Series 65
Date: 3/2/2009
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 5/24/2005
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: 5/11/2005
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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