JG
Jorick K. Gaines
TRANSAMERICA FINANCIAL ADVISORS
SAN JOSE, CA 95117
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CRD#: 2738289
JG
Professional summary
Jorick Kenneth Gaines is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in San Jose, California.
Jorick is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Jorick has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Coast to Coast Realty / 0101-Present/ Investment Related: No /14898 E. 14th st 480 San Leandro, CA 94578/Independent Contractor/ Real Estate / Hrs Work Monthly: 5%/ Sec Trading Hrs: 0% / Sales and Marketing of residential real estate NEVADA SOLAR ENERGY POSITION: Referral partner NATURE: Installation of solar panels to save on electricity INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 1 START DATE: 07/20/2024 ADDRESS: 900 S 4th St, Las Vegas NV 89101, United States DESCRIPTION: Contacting and referring homeowners that do not have solar to save money on their electricity bill and get some involved in the business. INHERITGUARD, LLC POSITION: NOT APPLICABLE/NONE NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/01/2024 ADDRESS: 30 N Gould Street, STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS. College Loan Freedom Investment related Yes Henderson, NV Referral Agent 5/2020 Fryar Insurance Services & Risk Management Investment Related Yes PROPERTY & CASUALTY AGENT Hayword, CA 04/2010 NetLaw Investment Related Yes Associate 01/2019 Louisville KY LSPN PRO LLC Investment related No 100 N. STATE STREET LINDON UT 84042 REFERRAL PARTNER 09/2023 CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS Champion Health, Inc. Investment related No 7272 E. Indian Rd, Scottsdale AZ 85251 Agent 12/2023 I will be marketing and prospecting businesses of all sizes for add 'l health benefits offered thru Champ which I plan to develop relationships for other opportunities for services offered by Transamerica & WFG, i.e., retirement plans, insurance, etc. 08/2025PRESENTHeartland Institute of Financial EducationGreenwood VillageColoradoUnited StatesNoCertified Financial Educator, CFEd
CRS (Client Relationship Summary) - RIA
Click below to view Jorick Kenneth Gaines's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jorick Kenneth Gaines'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3550 Stevens Creek Blvd Suite 308, San Jose, CA 95117RIA
BD
CRD#: 16164
SAN JOSE, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3550 Stevens Creek Blvd Suite 308, San Jose, CA 95117RIA
BD
CRD#: 16164
SAN JOSE, CA
Past
October 6, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
SAN LEANDRO, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
SAN JOSE, CA
Past
August 13, 1996 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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
California(1/6/2012)
IAR
California(1/6/2012)
RR
North Carolina(7/3/2014)
IAR
North Carolina(6/30/2020)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
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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.
