Alan D. Brast

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CRD#: 29156

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.

Alan David Brast was a registered financial professional .

Alan is a previously registered financial professional and started their career in finance in 1969. Alan had worked at 12 firms and has passed the SIE and Series 1 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 4, 2009 - December 31, 2015

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

SAN RAMON, CA

Past

July 23, 2003 - September 4, 2009

TRANSAMERICA FINANCIAL ADVISORS, INC.

CRD#: 3600

SAN RAMON, CA

Past

January 1, 2002 - July 1, 2003

LOCUST STREET SECURITIES, INC.

CRD#: 1703

DES MOINES, IA

Past

August 26, 1997 - January 1, 2002

BMA FINANCIAL SERVICES, INC.

CRD#: 7943

KANSAS CITY, MO

Past

August 24, 1993 - August 27, 1997

CETERA WEALTH SERVICES, LLC

CRD#: 13572

EL SEGUNDO, CA

Past

January 19, 1993 - August 28, 1993

INVESTORS BROKERAGE SERVICES, INC.

CRD#: 4257

ELGIN, IL

Past

July 30, 1987 - November 25, 1992

ARM SECURITIES CORPORATION

CRD#: 932

MINOT, ND

Past

April 9, 1985 - August 3, 1987

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

August 24, 1984 - April 16, 1985

JUDY & ROBINSON SECURITIES, INC

CRD#: 2378

Past

May 5, 1983 - September 11, 1984

USLIFE EQUITY SALES CORP.

CRD#: 7962

Past

September 4, 1981 - May 26, 1982

INVESTMENT MARKETING, INC.

CRD#: 2322

Past

March 1, 1971 - August 12, 1981

AMERICAN GENERAL EQUITY SERVICES CORPORATION

CRD#: 5435

Past

September 24, 1969 - January 9, 1971

PENNSYLVANIA SECURITIES COMPANY

CRD#: 6416

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

General Industry/Product Exam

SIE

Date: 12/31/2015

Securities Industry Essentials Examination

General Industry/Product Exam

Series 1

Date: 4/19/1969

Registered Representative Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Advisor Monitoring

Firm Stability Insights

Alan D. Brast

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, INC.

LOCUST STREET SECURITIES, INC.

BMA FINANCIAL SERVICES, INC.

CETERA WEALTH SERVICES, LLC

INVESTORS BROKERAGE SERVICES, INC.

ARM SECURITIES CORPORATION

USLIFE EQUITY SALES CORP.

JUDY & ROBINSON SECURITIES, INC

USLIFE EQUITY SALES CORP.

INVESTMENT MARKETING, INC.

AMERICAN GENERAL EQUITY SERVICES CORPORATION

PENNSYLVANIA SECURITIES COMPANY

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

SIE

Date: 12/31/2015

Series 1

Date: 4/19/1969

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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