RA
Rudy E. Ariate
TRANSAMERICA FINANCIAL ADVISORS
Phoenix, AZ 85044
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CRD#: 2650453
RA
Professional summary
Rudy E Ariate is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Phoenix, Arizona.
Rudy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Rudy has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. National Association of Registered Social Security Analysts / 0622-Present / Investment Related: No / 68 South Service Road Suite 100, Melville, NY 11747 / RSSA exam Required / Social Security Education / Hrs. Work Monthly: 20 / Sec Trading Hrs: 2 / Social Security Education Rudy Ariate/1114-Present/Investment Related: No /Tuson, AZ / Agent/ Health, Vision, and Dental Insurance / Hrs Work: 8 Hrs/Sec Trading Hrs: 0 / Market, Offer, Sell Bcbs Health, Vision and Dental Insurance Plans To Individuals And Groups Of People Net Law/ 0817-Present /Investment Related: No/12910 Shelbyville Road, Suite 124, Louisville, Ky 40243/ Agent / Online Wills And Trust Referral Program For Document Creation/ Hrs Work Monthly: 1/Sec Trading Hr0/In The Process Of Helping Clients With Their Financial Needs, Wills And Trusts May Come Up In The Discussion. Will Refer If Needed To This Company Heartland Institute of Financial Education / 0112-Present / Investment Related: No / 2851 S Parker Road Aurora, CA 80014/ Holder of Certificate of Financial Education / Financial literacy to the public/ Hrs Work Monthly: 10% / Sec Trading Hrs: 0/ Holder of Certificate of Financial Education Rudy E Ariate, CPA/ 0890-Present / Investment Related: No / Tucson, AZ / Owner/ Tax & Accountant Service / Tucson, AZ / Performs Tax & Accounting consult Tucson Mozone Center Partners, LLC/ 0406-Present / Investment Related: No / Tucson, AZ / Owner/Company was formed to purchase office building for WFG operation/ / Hrs Work Monthly: 1% / Sec Trading Hrs: 1% /Owner office building
CRS (Client Relationship Summary) - RIA
Click below to view Rudy E Ariate's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rudy E Ariate'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 10429 S. 51st St Suite 210-a, Phoenix, AZ 85044RIA
BD
CRD#: 16164
Phoenix, AZ
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 10429 S. 51st St Suite 210-a, Phoenix, AZ 85044RIA
BD
CRD#: 16164
Phoenix, AZ
Past
September 16, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MESA, AZ
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
TUCSON, AZ
Past
October 21, 1997 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
Past
October 9, 1995 - May 1, 1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
BD
CRD#: 5181
BOSTON, MA
Past
October 9, 1995 - October 30, 1997
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
BOSTON, MA
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
Arizona(1/6/2012)
IAR
Arizona(1/6/2012)
RR
California(1/6/2012)
RR
Colorado(6/13/2013)
RR
Texas(5/4/2015)
RR
Washington(5/4/2015)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
