ES
Edward T. Smelich
TRANSAMERICA FINANCIAL ADVISORS
Gold River, CA 95670
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CRD#: 2561139
ES
Professional summary
Edward Thomas Smelich is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Gold River, California.
Edward is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1994. Edward has worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 6, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. WE ARE AWARE POSITION: Coach NATURE: Owner and coach INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 11/01/2022 ADDRESS: 465 WILLIAMS STREET, FOLSOM CA 95630, United States DESCRIPTION: I am a Results/Success/Life Coach. I have a time-tested, proven, reliable, repeatable system for helping people create lives they love living. I introduce people to the Laws of the Universe, the Laws of the Mind, and Laws of Achievement. Goal setting is an intellectual exercise while goal achievement (results) is a lawful process. This program lasts for 90 days and I will meet with clients one hour per week. I do not have any clients/students yet. But when I do, I do not expect to have more than a couple at a time. So, that would be approximately two hours per week which could be non-market hours and weekends. A coaching session would be a one-hour in person, Zoom or phone call. DREAMS SCORE LLC POSITION: commissioned referral partner NATURE: business services such as section 125 plans, health insurance supplemental plans, tax advice INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2025 ADDRESS: 701 Palomar Airport Road, #300, Carlsbad, CA 92011, United States DESCRIPTION: This is a very comprehensive platform for business owners in case I run across a business owner that is looking for supplemental health coverage, section 125 plans, tax advice and the like. I will not be offering any tax advice or setting up the plan. I am merely the referring party to the experts. I'm not the expert and will not hold myself out as such. I do not expect this to be a daily activity. I just want to have access to these experts if my business owner clients need these outside services.
CRS (Client Relationship Summary) - RIA
Click below to view Edward Thomas Smelich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Edward Thomas Smelich'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®
NoneExperience
Current
October 27, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11344 Coloma Rd Suite 240, Gold River, CA 95670RIA
BD
CRD#: 16164
Gold River, CA
Current
October 27, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11344 Coloma Rd Suite 240, Gold River, CA 95670RIA
BD
CRD#: 16164
Gold River, CA
Past
August 12, 2011 - September 27, 2016
EQUITABLE ADVISORS, LLC
RIA
CRD#: 6627
GOLD RIVER, CA
Past
August 12, 2011 - September 27, 2016
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
GOLD RIVER, CA
Past
March 8, 2011 - August 3, 2011
SIGNATOR INVESTORS, INC.
RIA
CRD#: 468
WALNUT CREEK, CA
Past
February 18, 2011 - August 3, 2011
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
WALNUT CREEK, CA
Past
June 19, 2009 - March 4, 2011
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
SACRAMENTO, CA
Past
June 18, 2009 - March 4, 2011
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
SACRAMENTO, CA
Past
March 18, 2005 - September 22, 2009
LPL FINANCIAL LLC
RIA
CRD#: 6413
FOLSOM, CA
Past
March 17, 2005 - September 22, 2009
LPL FINANCIAL LLC
BD
CRD#: 6413
FOLSOM, CA
Past
January 30, 2002 - April 5, 2005
PIPER SANDLER & CO.
RIA
CRD#: 665
SACRAMENTO, CA
Past
January 22, 2002 - April 5, 2005
PIPER SANDLER & CO.
BD
CRD#: 665
MINNEAPOLIS, MN
Past
January 25, 1999 - January 14, 2002
ACUMENT SECURITIES, INC.
BD
CRD#: 7661
SAN FRANCISCO, CA
Past
December 1, 1994 - January 4, 1999
OSAIC WEALTH, INC.
BD
CRD#: 23131
SCOTTSDALE, AZ
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(10/27/2016)
IAR
California(10/27/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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#: 16164Gold River, CA 95670TRUST BUT VERIFY
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