CS
Christopher A. Staples
TRANSAMERICA FINANCIAL ADVISORS
CENTENNIAL, CO 80016
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CRD#: 2691930
CS
Professional summary
Christopher Alan Staples, AIF®, who also goes by Chris Staples, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Centennial, Colorado.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Christopher has worked at 3 firms and has passed the Series 65, Series 63, Series 3, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Chris Staples
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 employee of Transamerica Financial Advisors, may perform home office functions for other business units 1)PERFORMS DUTIES ON BEHALF OF AFFILIATE, TRANSAMERICA ASSET MANAGEMENT. INVESTMENT RELATED. 4600 S. SYRACUSE ST DENVER CO. 40HRS/WEEK. 40 HRS/WEEK DURING SEC TRADING HRS. START DATE- 11/2004 2)STAPLES PROPERTIES LLC, 7290 S. LIVERPOOL ST, CENTENNIAL CO, OWNER OF RENTAL PROPERTIES, START 3/2016, 2 HRS, 0 HRS
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Alan Staples's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Christopher Alan Staples'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®
Experience
Current
February 9, 2005 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 7290 S. Liverpool Street, Centennial, CO 80016RIA
BD
CRD#: 16164
CENTENNIAL, CO
Current
January 27, 2005 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6400 C St Sw, Cedar Rapids, IA 52499RIA
BD
CRD#: 16164
Cedar Rapids, IA
Past
December 18, 2007 - June 20, 2016
TRANSAMERICA CAPITAL, LLC
BD
CRD#: 8217
DENVER, CO
Past
September 24, 1996 - December 1, 2004
RAYMOND JAMES & ASSOCIATES, INC.
BD
CRD#: 705
ST. PETERSBURG, FL
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
Colorado(7/9/2014)
IAR
Colorado(11/13/2019)
RR
Iowa(12/8/2023)
IAR
Iowa(12/8/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Centennial, CO 80016TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
