Maritza Nevarez
TRANSAMERICA FINANCIAL ADVISORS
Alviso, CA 95002-2028
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CRD#: 2762446
Professional summary
Maritza Nevarez, CFP® is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alviso, California.
Maritza is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Maritza has worked at 6 firms and has passed the Series 63, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Estate Planning
Insurance Planning
Retirement Planning
Long-term Care
Tax Planning
Socially Responsible Investing
Retirement Income Management
Employee and Employer Plan Ben...
Investment Planning
Business Succession Planning
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. WSB- co-brand utilized by WFG agents (not a WFG company)- not an employee or an officer/director, no compensation.
CRS (Client Relationship Summary) - RIA
Click below to view Maritza Nevarez's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Maritza Nevarez'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®
CFP®
Start date: 1999
Experience
Current
June 6, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2099 Gold Street, Alviso, CA 95002-2028RIA
BD
CRD#: 16164
Alviso, CA
Current
June 6, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2099 Gold Street, Alviso, CA 95002-2028RIA
BD
CRD#: 16164
Alviso, CA
Past
July 17, 2013 - April 6, 2016
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
July 2, 2010 - January 12, 2012
INTERACTIVE FINANCIAL ADVISORS
RIA
CRD#: 125117
RENTON, WA
Past
May 4, 2010 - July 16, 2013
FORESTERS EQUITY SERVICES, INC.
BD
CRD#: 18464
SAN DIEGO, CA
Past
April 21, 2000 - November 30, 2009
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
MILPITAS, CA
Past
January 27, 2000 - November 30, 2009
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
MILPITAS, CA
Past
July 23, 1996 - January 3, 2000
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
July 23, 1996 - January 3, 2000
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(6/6/2016)
IAR
California(6/6/2016)
RR
New Jersey(12/1/2023)
IAR
New Jersey(12/1/2023)
RR
Washington(6/6/2016)
IAR
Washington(6/6/2016)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
