JS
Jeffrey L. Stone
TRANSAMERICA FINANCIAL ADVISORS
Florence, AL
Some features on this profile are disabled
CRD#: 2655884
JS
Professional summary
Jeffrey Lee Stone is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Florence, Alabama.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Jeffrey has worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 31, Series 7, Series 24, Series 10 and Series 9 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.
As an employee of Transamerica Financial Advisors, Inc., may perform home office functions for other business units. JEFFREY STONE FINE ART|NOT INVESTMENT RELATED|33004 DEER TRAIL. ALPHARETTA, GA 30004|FINE ART CREATION AND SALES|ARTIST|12.01.2019|10 HOURS A MONTH|0 HOUR DURING SECURIITES TRADING|PAINTING AND THE SALE OF MY PAINTINGS
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Lee Stone's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Lee Stone'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
December 1, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Florence, AL
Current
November 15, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Florence, AL
Past
November 3, 2011 - October 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
Alpharetta, GA
Past
November 1, 2011 - October 24, 2016
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
Alpharetta, GA
Past
April 22, 2010 - June 23, 2010
WADDELL & REED
BD
CRD#: 866
ATLANTA, GA
Past
April 15, 2010 - June 23, 2010
WADDELL & REED
RIA
CRD#: 866
ATLANTA, GA
Past
July 14, 2004 - March 16, 2009
RAYMOND JAMES & ASSOCIATES, INC.
RIA
CRD#: 705
ATLANTA, GA
Past
July 6, 2004 - March 16, 2009
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ATLANTA, GA
Past
November 18, 2003 - July 20, 2004
DEUTSCHE BANK SECURITIES INC.
RIA
CRD#: 2525
ATLANTA, GA
Past
January 13, 2001 - July 20, 2004
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
December 24, 1997 - January 13, 2001
DB ALEX. BROWN LLC
BD
CRD#: 17790
BALTIMORE, MD
Past
October 20, 1995 - June 28, 1996
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
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
Alabama(7/26/2023)
IAR
Alabama(7/26/2023)
RR
Arkansas(10/18/2023)
RR
Georgia(4/28/2025)
RR
Iowa(1/8/2025)
IAR
Iowa(1/9/2025)
RR
Louisiana(1/8/2018)
RR
Massachusetts(8/4/2023)
RR
Missouri(4/28/2025)
RR
North Carolina(8/28/2024)
IAR
North Carolina(8/29/2024)
RR
Oklahoma(4/28/2025)
RR
Puerto Rico(2/10/2021)
IAR
Puerto Rico(2/17/2021)
RR
South Carolina(8/28/2024)
RR
Tennessee(4/28/2025)
RR
Texas(3/16/2017)
IAR
Texas(8/29/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
