Richard B. Conn
Professional summary
Richard Brandon Conn, who also goes by Rich Conn, Richard Conn, Richie Conn, Rick Conn, Rich Conn, Richie Conn, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cedar Rapids, Iowa.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1997. Richard has worked at 9 firms and has passed the Series 63, Series 57TO, SIE, Series 55, Series 7, Series 3 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Brandon Conn's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 15, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6400 C St Sw, Cedar Rapids, IA 52499October 16, 2014 - January 6, 2025
M HOLDINGS SECURITIES, INC.
January 5, 2006 - October 9, 2014
ROTH CAPITAL PARTNERS, LLC
February 15, 2005 - January 4, 2006
INTERACTIVE BROKERS CORP.
May 17, 2004 - October 8, 2004
GUNNALLEN FINANCIAL, INC
March 3, 1998 - June 26, 2002
DEUTSCHE IXE, LLC
January 9, 1998 - March 9, 1998
TRADEWAY SECURITIES GROUP, INC.
February 2, 1997 - December 5, 1997
QUEST CAPITAL STRATEGIES, INC.
January 1, 1997 - January 31, 1997
WALDRON & CO., INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/15/2025)
(1/15/2025)
Exams
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 7/12/1999
Limited Representative-Equity Trader ExamFINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
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#: 16164Cedar Rapids, IA 52499TRUST BUT VERIFY
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