Paul G. Darata
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Paul Gerard Darata, CFP®, who also goes by Paul G Darata, Paul G. Darata, was a registered financial professional .
Paul is a previously registered financial professional and started their career in finance in 1996. Paul had worked at 8 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2016 - March 4, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
March 7, 2014 - March 4, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
May 29, 2009 - June 28, 2013
MUTUAL OF AMERICA SECURITIES LLC
May 29, 2009 - June 28, 2013
MUTUAL OF AMERICA LIFE INSURANCE COMPANY
June 28, 2000 - January 7, 2009
EQUITABLE ADVISORS, LLC
November 15, 1996 - April 17, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
November 15, 1996 - April 17, 1997
SIGNATOR INVESTORS, INC.
November 15, 1996 - June 20, 2000
CITISTREET EQUITIES LLC
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
