Kenneth R. Braden
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Kenneth Robert Braden, who also goes by Ken Braden, was a registered financial advisor .
Kenneth is a previously registered financial advisor and started their career in finance in 1996. Kenneth had worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 2013 - January 8, 2015
TRANSAMERICA RETIREMENT ADVISORS, LLC
November 28, 2012 - January 8, 2015
TRANSAMERICA INVESTORS SECURITIES, LLC
November 23, 2010 - June 7, 2012
STRATEGIC ADVISERS LLC
November 23, 2010 - June 6, 2012
FIDELITY BROKERAGE SERVICES LLC
March 26, 2007 - April 30, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
March 22, 2007 - April 30, 2010
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC
June 29, 2006 - March 21, 2007
SIGNATOR INVESTORS, INC.
May 15, 2006 - March 21, 2007
SIGNATOR INVESTORS, INC.
October 17, 2005 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
October 14, 2005 - April 5, 2006
CHASE INVESTMENT SERVICES CORP.
March 5, 2003 - October 14, 2005
CHARLES SCHWAB & CO., INC.
July 3, 1996 - October 14, 2005
CHARLES SCHWAB & CO., INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 8/24/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
