AR
Arthur I. Reich
TRANSAMERICA FINANCIAL ADVISORS
Oakbrook Terrace, IL 60181
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CRD#: 2754761
AR
Professional summary
Arthur I Reich, who also goes by Arthur Reich, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oakbrook Terrace, Illinois.
Arthur is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Arthur has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Arthur Reich
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 products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc
JOHN HANCOCK LONG TERM CARE NOT INVESTMENT RELATED SAN FRANCISCO, CA 2HRS/MONTH TITLE; AGENT.
GENERAL ELECTRIC LONG TERM CARE NOT INVESTMENT RELATED LOS ANGELES, CA 2HRS/MONTH TITLE:AGENT.
BLUE CROSS BLUE SHIELD OF ILLINOIS, CHICAGO, IL NOT INVESTMENT RELATED 2HRS/MONTH TITLE: AGENT.
WELLINGTON GROUP OF ILLINOIS LLC, CHICAGO, IL NOT INVESTMENT RELATED OWNER 2HRS/MONTH.
CRS (Client Relationship Summary) - RIA
Click below to view Arthur I Reich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Arthur I Reich'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: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Past
August 9, 2006 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
OAK BROOK, IL
Past
February 19, 2004 - August 25, 2006
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
CHICAGO, IL
Past
May 16, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
OAK BROOK, IL
Past
January 2, 1998 - April 17, 2002
CADARET, GRANT & CO., INC.
BD
CRD#: 10641
SYRACUSE, NY
Past
November 21, 1997 - January 2, 1998
PINEBRIDGE SECURITIES LLC
BD
CRD#: 5967
NEW YORK, NY
Past
May 2, 1997 - November 21, 1997
WATERSTONE FINANCIAL GROUP, INC.
BD
CRD#: 10078
BOSTON, MA
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
Delaware(12/6/2012)
RR
Illinois(1/6/2012)
IAR
Illinois(1/6/2012)
RR
Indiana(1/6/2012)
RR
New Jersey(1/6/2012)
IAR
New Jersey(7/5/2024)
RR
Ohio(10/9/2015)
RR
Pennsylvania(1/6/2012)
RR
Wisconsin(1/6/2012)
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Oakbrook Terrace, IL 60181TRUST BUT VERIFY
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Contact information
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