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RG

Ruben Gonzalez

TRANSAMERICA RETIREMENT ADVISORS
Ontario, CA
Some features on this profile are disabled
CRD#: 2619263
RG

Professional summary

Ruben Gonzalez is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Ontario, California and TRANSAMERICA INVESTORS SECURITIES, LLC located in Brewster, New York.

Ruben is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Ruben has worked at 14 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

top-8-questions

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ruben Gonzalez'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 30, 2014 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Ontario, CA
Current

October 27, 2014 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Brewster, NY
Past

March 4, 2014 - September 23, 2014

CALTON & ASSOCIATES, INC.

RIA
CRD#: 20999
ONTARIO, CA
Past

March 4, 2014 - September 23, 2014

CALTON & ASSOCIATES, INC.

BD
CRD#: 20999
ONTARIO, CA
Past

January 17, 2014 - February 24, 2014

CHELSEA FINANCIAL SERVICES

BD
CRD#: 47770
IRVINE, CA
Past

October 1, 2012 - December 5, 2013

J.P. MORGAN SECURITIES LLC

RIA
CRD#: 79
FONTANA, CA
Past

October 1, 2012 - December 5, 2013

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
FONTANA, CA
Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA
CRD#: 25574
FONTANA, CA
Past

May 2, 2009 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

BD
CRD#: 25574
FONTANA, CA
Past

November 8, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

RIA
CRD#: 599
RIALTO, CA
Past

November 8, 2007 - May 2, 2009

WAMU INVESTMENTS, INC.

BD
CRD#: 599
RIALTO, CA
Past

May 30, 2007 - November 12, 2007

CITIGROUP GLOBAL MARKETS INC.

RIA
CRD#: 7059
RIVERSIDE, CA
Past

May 29, 2007 - November 12, 2007

CITIGROUP GLOBAL MARKETS INC.

BD
CRD#: 7059
RIVERSIDE, CA
Past

August 31, 2006 - May 29, 2007

CITICORP INVESTMENT SERVICES

BD
CRD#: 23988
RIVERSIDE, CA
Past

February 6, 2006 - September 1, 2006

LPL FINANCIAL LLC

BD
CRD#: 6413
SAN BERNARDINO, CA
Past

April 16, 2002 - February 7, 2006

WAMU INVESTMENTS, INC.

BD
CRD#: 599
IRVINE, CA
Past

November 29, 2001 - April 10, 2002

SIGNATOR FINANCIAL SERVICES, INC.

BD
CRD#: 19061
BOSTON, MA
Past

November 6, 1998 - September 21, 2001

VOYA FINANCIAL PARTNERS, LLC

BD
CRD#: 34815
WINDSOR, CT
Past

December 4, 1996 - July 24, 1998

JOHN HANCOCK DISTRIBUTORS LLC

BD
CRD#: 5249
BOSTON, MA
Past

November 16, 1995 - September 23, 1996

FIMCO SECURITIES GROUP, INC.

BD
CRD#: 30343
PORT WASHINGTON, WI

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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)

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

IAR
California
(9/30/2014)
RR
California
(10/28/2014)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 5/21/2007
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 10/11/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 3/4/2002
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 9/8/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA
Registered Investment Advisory firm - (12/16/1992 Approved)
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Contact information

Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)
TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

Regulatory assets under management

Total Number of Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm ADV-E Report
10/10/2025
Cover Page
Report
10/25/2024
Cover Page
Report
07/25/2023
Cover Page
Report

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 RETIREMENT ADVISORS, LLC

CRD#: 107319Ontario, CA

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