Mark Yandric
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Mark Yandric was a registered financial professional .
Mark is a previously registered financial professional and started their career in finance in 1997. Mark had worked at 15 firms and has passed the Series 66, Series 63, Series 65, SIE, Series 31, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2015 - December 31, 2016
TRANSAMERICA RETIREMENT ADVISORS, LLC
September 26, 2011 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
January 13, 2009 - September 29, 2009
LPL FINANCIAL LLC
January 13, 2009 - September 29, 2009
LPL FINANCIAL LLC
January 8, 2007 - December 18, 2008
ZIONS CAPITAL ADVISORS, INC.
April 5, 2006 - December 31, 2006
ZIONS DIRECT, INC.
April 4, 2006 - December 18, 2008
ZIONS DIRECT, INC.
October 3, 2005 - March 29, 2006
BANCWEST INVESTMENT SERVICES, INC.
March 7, 2003 - March 1, 2004
A. G. EDWARDS & SONS, INC.
April 16, 2001 - March 14, 2002
METROPOLITAN LIFE INSURANCE COMPANY
April 16, 2001 - March 14, 2002
MSI FINANCIAL SERVICES, INC.
August 26, 1999 - August 31, 2000
MORGAN STANLEY DW INC.
May 8, 1998 - August 19, 1999
SUNPOINT SECURITIES, INC.
April 1, 1998 - May 18, 1998
BARRON CHASE SECURITIES, INC.
January 27, 1998 - April 1, 1998
IDS LIFE INSURANCE COMPANY
January 27, 1998 - April 1, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
July 14, 1997 - December 31, 1997
PFS INVESTMENTS INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
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 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
