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PD

Patrick K. Dailey

TRANSAMERICA FINANCIAL ADVISORS
Rancho Santa Margarita, CA
Some features on this profile are disabled
CRD#: 2475693
PD

Professional summary

Patrick Kevin Dailey, who also goes by Patrick Dailey, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Rancho Santa Margarita, California.

Patrick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Patrick has worked at 18 firms and has passed the Series 63, Series 65, Series 52TO, SIE, Series 7, Series 53, Series 4 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Patrick Dailey

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.
As an employee of Transamerica Financial Advisors, Inc., may perform home office functions for other business units. Patrick Dailey Notary Signing Agent / 0420-Present / Investment Related: No / 3 Acanthus Rancho Santa Margarita, CA 92688 / Notary Signing Agent / Notary Public / Hrs Work Monthly: 7 / Sec Trading Hrs: 0 / Part time / weekends, notary signing agent for loan documents and other notary required signatures PK'S QUOTES POSITION: owner NATURE: self-help INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/15/2022 ADDRESS: 3 acanthus, rancho santa margarita CA 92688, United States DESCRIPTION: Present and give my interpretation of inspiring quotes from some great and important people from around the world.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Patrick Kevin Dailey's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Patrick Kevin Dailey'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

September 5, 2019 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
BD
CRD#: 16164
Rancho Santa Margarita, CA
Current

September 5, 2019 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
BD
CRD#: 16164
Rancho Santa Margarita, CA
Past

March 31, 2019 - September 1, 2019

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

January 4, 2018 - August 9, 2018

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
STATEN ISLAND, NY
Past

October 12, 2017 - June 20, 2019

CLARAPHI ADVISORY NETWORK, LLC

RIA
CRD#: 165868
LAGUNA HILLS, CA
Past

March 20, 2015 - July 20, 2017

ACORNS

RIA
CRD#: 165926
IRVINE, CA
Past

March 20, 2015 - July 20, 2017

ACORNS SECURITIES, LLC

BD
CRD#: 168172
Irvine, CA
Past

May 13, 2013 - December 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

RIA
CRD#: 2881
LOS ANGELES, CA
Past

May 13, 2013 - December 17, 2014

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

BD
CRD#: 2881
LOS ANGELES, CA
Past

April 15, 2013 - April 22, 2013

MB TRADING

BD
CRD#: 30330
EL SEGUNDO, CA
Past

July 11, 2012 - January 8, 2013

CETERA WEALTH SERVICES, LLC

RIA
CRD#: 13572
EL SEGUNDO, CA
Past

July 10, 2012 - January 8, 2013

CETERA WEALTH SERVICES, LLC

BD
CRD#: 13572
EL SEGUNDO, CA
Past

March 24, 2009 - July 9, 2012

WESTERN INTERNATIONAL SECURITIES, INC.

RIA
CRD#: 39262
JENKINTOWN, PA
Past

December 4, 2008 - July 9, 2012

WESTERN INTERNATIONAL SECURITIES, INC.

BD
CRD#: 39262
JENKINTOWN, PA
Past

January 26, 2007 - October 20, 2008

FIRST ALLIED SECURITIES, INC.

RIA
CRD#: 32444
SAN DIEGO, CA
Past

May 11, 2005 - June 13, 2005

ROUND HILL SECURITIES, INC.

BD
CRD#: 35223
ALAMO, CA
Past

December 6, 2000 - October 20, 2008

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
SAN DIEGO, CA
Past

January 25, 1999 - December 7, 2000

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

February 19, 1998 - January 19, 1999

QUEST CAPITAL STRATEGIES, INC.

BD
CRD#: 16783
LAGUNA HILLS, CA
Past

July 14, 1997 - July 16, 1997

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

June 13, 1996 - July 14, 1997

ASB FINANCIAL SERVICES

BD
CRD#: 24280
IRVINE, CA
Past

February 15, 1996 - June 5, 1996

FIMCO SECURITIES GROUP, INC.

BD
CRD#: 30343
PORT WASHINGTON, WI
Past

March 3, 1995 - January 22, 1996

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
NEW YORK, NY
Past

June 20, 1994 - March 13, 1995

UBS FINANCIAL SERVICES INC.

BD
CRD#: 8174
WEEHAWKEN, 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
California
(9/5/2019)
IAR
California
(9/5/2019)
RR
Iowa
(1/8/2025)
IAR
Iowa
(1/9/2025)
RR
Massachusetts
(5/3/2021)

Exams

State Security Law Exam
RR
Series 63
Date: 6/14/1994
Uniform Securities Agent State Law Examination
State Security Law Exam
IAR
Series 65
Date: 6/9/1994
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 8/9/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/18/1994
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 9/17/1998
Municipal Securities Principal Examination
Principal/Supervisory Exam
RR
Series 4
Date: 4/7/1998
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 8/21/1996
General Securities Principal Examination
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)

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#: 16164Rancho Santa Margarita, CA

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