Mark A. Ruffo

TRANSAMERICA RETIREMENT ADVISORS

San Diego, CA

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CRD#: 2709831

Professional summary

Mark Anthony Ruffo, who also goes by Marco Antonio Ruffo, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in San Diego, California and TRANSAMERICA INVESTORS SECURITIES, LLC located in Lagrange Park, Illinois.

Mark is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Mark has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Marco Antonio Ruffo

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.

1) LYFT, INC., 232 W IVY ST. SAN DIEGO, CA 92101 CATEGORY: SERVICE INVESTMENT RELATED: NO TITLE: DRIVER DUTIES: DRIVER FOR RIDE-SHARE COMPANY. START DATE: 05/2018 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 UPDATE FORM BR: NO WEBSITE ADDRESS: N/A 2) UBER INC., 232 W IVY ST. SAN DIEGO, CA 92101 CATEGORY: SERVICE INVESTMENT RELATED: NO TITLE: DRIVER DUTIES: DRIVER FOR RIDE-SHARE COMPANY. START DATE: 05/2018 HOURS PER MONTH: 10 HOURS PER MONTH DURING TRADING HOURS: 0 UPDATE FORM BR: NO WEBSITE ADDRESS: N/A

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Ruffo'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 18, 2025 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

San Diego, CA

Current

September 18, 2025 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

LaGrange Park, IL

Past

May 1, 2024 - September 12, 2025

LINCOLN FINANCIAL DISTRIBUTORS, INC.

CRD#: 145

RADNOR, PA

Past

September 21, 2022 - May 8, 2024

OSAIC FA, INC.

RIA

CRD#: 3978

SAN DIEGO, CA

Past

September 20, 2022 - May 1, 2024

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Past

February 22, 2022 - September 22, 2022

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

San Diego, CA

Past

February 18, 2022 - September 22, 2022

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

April 24, 2017 - February 1, 2022

OSAIC FA, INC.

RIA

CRD#: 3978

SAN DIEGO, CA

Past

April 24, 2017 - February 1, 2022

OSAIC FA, INC.

CRD#: 3978

SAN DIEGO, CA

Past

March 14, 2017 - April 18, 2017

TD AMERITRADE, INC.

CRD#: 7870

OMAHA, NE

Past

September 15, 2000 - September 21, 2015

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

SAN DIEGO, CA

Past

March 22, 2000 - September 21, 2015

CHARLES SCHWAB & CO., INC.

CRD#: 5393

SAN DIEGO, CA

Past

May 20, 1996 - February 8, 2000

DEAM INVESTOR SERVICES, INC.

CRD#: 754

NEW YORK, 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".

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.

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

California
(9/18/2025)

IAR

California
(9/18/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/21/2000

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/1996

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/14/2000

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 5/17/1996

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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 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	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.

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Firm Stability Insights

Mark A. Ruffo

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Mark Anthony Ruffo's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

LINCOLN FINANCIAL DISTRIBUTORS, INC.

OSAIC FA, INC.

OSAIC FA, INC.

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

OSAIC FA, INC.

OSAIC FA, INC.

TD AMERITRADE, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

DEAM INVESTOR SERVICES, INC.

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/21/2000

Series 63

Date: 4/3/1996

SIE

Date: 10/1/2018

Series 7

Date: 7/14/2000

Series 6

Date: 5/17/1996

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

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