VS
Vicki K. Schapp
TRANSAMERICA FINANCIAL ADVISORS
Cincinnati, OH 45246
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CRD#: 2461580
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Professional summary
Vicki K Schapp, CFP®, who also goes by VIcki Kay Schapp, Vicki K Shupert, Vicki K Shupert, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio.
Vicki is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1999. Vicki has worked at 8 firms and has passed the Series 63, Series 65, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Vicki Kay Schapp | Vicki K Shupert | Vicki K Shupert
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. 08/2017PRESENTWealthWaveCincinnatiOhioUnited StatesYesNA NETLAW / INVESTMENT RELATED: NO / 12910 SHELBYVILLE RD. SUITE 124 LOUISVILLE KY 40243 / ESTATE DOCUMENT TEMPLATES AND DOCUMENT STORAGE / HOURS PER MONTH 1 / HOURS DURING SECURITIES TRADING 1 / IF CLIENT NEEDS ESTATE DOCUMENTS DRAFTED, SHARE WITH WEBSITE AND DISCUSS BENEFITS OF USING NETLAW WILLIAM F MITCHELL, LLC/ emp dates: 0119 TO PRESENT/ INVESTMENT RELATED: NO /address: 11421 CHESTER ROAD SUITE B CINCINNATI, OH 45246/ position: ADMINISTRATIVE ASSISTANT/ nature of business: CONDUCTS ADMINISTRATIVE SERVICES/ hrs work monthly: 80 /Sec trading hrs: 4 / duties: SECRETARIAL- FILING, TYPING, ACCOUNT LOOKUP, DATA ENTRY, ETC TRUSTEE OF DEAN Q SHUPERT AND MARJORIE L SHUPERT REVOCABLE TRUST DTD 06/27/1997 POSITION: Trustee NATURE: Trustee of Trust INVESTMENT RELATED: Yes NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 02/05/2024 ADDRESS: 311 Nightwind Dr, Maineville OH 45039, United States DESCRIPTION: Depositing any income and paying bills. Then once the Trust account is changed to me as Trustee, the Brokerage accounts will be liquidated and distributed to the beneficiaries. HEARTLAND INSTITUTE OF FINANCIAL EDUCATION POSITION: Certified Financial Educator NATURE: Financial Education INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 07/28/2025 ADDRESS: 8301 E Prentice Ave, Suite 312, Greenwood Village CO 80111, United States DESCRIPTION: I promote and provide financial education courses to businesses and employer groups as a Heartland CFEd.
CRS (Client Relationship Summary) - RIA
Click below to view Vicki K Schapp's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Vicki K Schapp'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®
CFP®
Start date: 1990
Experience
Current
September 21, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
Current
September 25, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11421 Chester Road, Cincinnati, OH 45246RIA
BD
CRD#: 16164
Cincinnati, OH
Past
December 3, 2014 - June 13, 2016
EAGLE STRATEGIES LLC
RIA
CRD#: 110826
CINCINNATI, OH
Past
September 10, 2014 - June 13, 2016
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CINCINNATI, OH
Past
March 21, 2012 - June 19, 2014
PARK AVENUE SECURITIES LLC
RIA
CRD#: 46173
MAINEVILLE, OH
Past
January 30, 2012 - June 19, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
CINCINNATI, OH
Past
November 14, 2006 - December 9, 2011
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CINCINNATI, OH
Past
November 13, 2006 - December 9, 2011
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CINCINNATI, OH
Past
January 2, 2004 - November 1, 2006
SPC
RIA
CRD#: 110692
MAINEVILLE, OH
Past
January 2, 2004 - November 1, 2006
SIGMA FINANCIAL CORPORATION
BD
CRD#: 14303
MAINEVILLE, OH
Past
October 19, 1999 - December 31, 2003
SUMMIT BROKERAGE SERVICES, INC.
BD
CRD#: 34643
BOCA RATON, FL
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
California(6/2/2025)
IAR
Ohio(9/21/2017)
RR
Ohio(9/25/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Cincinnati, OH 45246TRUST BUT VERIFY
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