Rhonda N. Wood

TRANSAMERICA FINANCIAL ADVISORS

Louisville, KY 40243

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CRD#: 2582441

Professional summary

Rhonda Nell Wood, who also goes by Rhonda N Snider, Rhonda Nell Snider, Rhonda Snider, Rhonda Nell Snider-wood, Rhonda Nell Snider, Rhonda Nell Snider-wood, Rhonda Nell Wood, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Louisville, Kentucky.

Rhonda is registered as a RR (Registered Representative) and started their career in finance in 1999. Rhonda has worked at 11 firms and has passed the Series 63, SIE and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rhonda Nell Wood'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

January 25, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 12910 Shelbyville Rd., Louisville, KY 40243

RIA

CRD#: 16164

Louisville, KY

Past

January 10, 2023 - February 24, 2023

GUIDESTONE FINANCIAL SERVICES

CRD#: 148249

DALLAS, TX

Past

May 4, 2021 - February 4, 2022

MONEY CONCEPTS CAPITAL CORP

CRD#: 12963

Dallas, TX

Past

April 29, 2019 - May 21, 2019

PFS INVESTMENTS INC.

CRD#: 10111

WOODBRIDGE, VA

Past

November 18, 2016 - May 19, 2017

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

May 4, 2015 - November 18, 2016

VOYA FINANCIAL PARTNERS, LLC

CRD#: 34815

WINDSOR, CT

Past

July 31, 2014 - April 2, 2015

ONEAMERICA SECURITIES, INC.

CRD#: 4173

INDIANAPOLIS, IN

Past

July 31, 2012 - May 5, 2014

PENTEGRA DISTRIBUTORS INC.

CRD#: 26249

WHITE PLAINS, NY

Past

November 21, 2006 - October 17, 2011

SECURITY DISTRIBUTORS

CRD#: 3336

TOPEKA, KS

Past

July 20, 2004 - November 3, 2006

MISSIONSQUARE INVESTMENT SERVICES

CRD#: 23189

WASHINGTON, DC

Past

July 18, 2000 - May 4, 2004

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

September 30, 1999 - July 3, 2000

SECURITIES MANAGEMENT & RESEARCH, INC.

CRD#: 759

CEDAR RAPIDS, IA

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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

Kentucky
(1/25/2025)

Texas
(1/25/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 6/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 5/19/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 9/27/1999

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

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

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Advisor Monitoring

Firm Stability Insights

Rhonda N. Wood

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Rhonda Nell Wood's CRS (Customer Relationship Summary).

Certified licenses

Experience

GUIDESTONE FINANCIAL SERVICES

MONEY CONCEPTS CAPITAL CORP

PFS INVESTMENTS INC.

VOYA FINANCIAL PARTNERS, LLC

VOYA FINANCIAL PARTNERS, LLC

ONEAMERICA SECURITIES, INC.

PENTEGRA DISTRIBUTORS INC.

SECURITY DISTRIBUTORS

MISSIONSQUARE INVESTMENT SERVICES

INVESCO DISTRIBUTORS, INC.

SECURITIES MANAGEMENT & RESEARCH, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 6/27/2000

SIE

Date: 5/19/2017

Series 6

Date: 9/27/1999

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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