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George T. Specht
TRANSAMERICA FINANCIAL ADVISORS
Omaha, NE
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CRD#: 2576958
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Professional summary
George T Specht, who also goes by George Tyler Specht, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Omaha, Nebraska.
George is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. George has worked at 5 firms and has passed the Series 66, Series 63, Series 52TO, SIE, Series 7, Series 53 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
George Tyler Specht
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. QUALIFIED JOINT VENTURE, GEORGE AMP; EMBAI SPECHT POSITION: Owner NATURE: Rental Property INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 09/01/2019 ADDRESS: 15346 Parker Street, Omaha NE 68154, United States DESCRIPTION: Collect rent monthly and perform maintenance as required.
CRS (Client Relationship Summary) - RIA
Click below to view George T Specht's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view George T Specht'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
May 28, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Omaha, NE
Current
May 27, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Omaha, NE
Past
November 22, 2016 - September 26, 2019
TD AMERITRADE, INC.
RIA
CRD#: 7870
OMAHA, NE
Past
November 17, 2016 - September 26, 2019
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
June 14, 2010 - November 22, 2016
BANCWEST INVESTMENT SERVICES, INC.
RIA
CRD#: 29357
OMAHA, NE
Past
August 21, 2006 - November 22, 2016
BANCWEST INVESTMENT SERVICES, INC.
BD
CRD#: 29357
OMAHA, NE
Past
April 22, 2006 - August 21, 2006
TD AMERITRADE, INC.
BD
CRD#: 7870
OMAHA, NE
Past
January 2, 2002 - April 22, 2006
TD AMERITRADE CLEARING, INC.
BD
CRD#: 5633
OMAHA, NE
Past
August 25, 1998 - December 31, 2001
J.P. SECURITIES, INC.
BD
CRD#: 36559
BELLEVUE, NE
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(7/1/2021)
RR
Colorado(9/4/2024)
RR
Idaho(4/28/2025)
RR
Iowa(1/8/2025)
IAR
Iowa(1/9/2025)
RR
Massachusetts(11/22/2021)
RR
Nebraska(5/27/2021)
IAR
Nebraska(6/7/2021)
RR
Oregon(4/28/2025)
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
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.
