RH
Richard A. Hagins
TRANSAMERICA FINANCIAL ADVISORS
Woodland Hills, CA 91367
Some features on this profile are disabled
CRD#: 2958929
RH
Professional summary
Richard Alan Hagins, who also goes by Richard Hagins, Rick Hagins, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Woodland Hills, California.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard Hagins | Rick Hagins
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, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." AMADA SENIOR CARE FRANCHISE/Investment Related - No/21900 Burbank Blvd. #300 Woodland Hills, CA 91367/Provide clients non-medical care in their home from caregiver employees. Also find assisted living communities for clients./Owner/01.2013/160/16/Find clients. Hire caregivers. Determine need of client. Place caregiver in the home or find senior community. VIDEO GAME STREAMER POSITION: Player NATURE: Online video game streaming. INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2024 ADDRESS: 9 Front Row Lane, Aliso Viejo CA 92656, United States DESCRIPTION: I stream myself playing video games. RICHARD HAGINS, DBA HAGINS FINANCIAL SERVICES POSITION: Owner NATURE: My wife does VA benefit consulting through this business. She is paid a fee to help people understand available benefits and planning for processing claims. INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/01/2013 ADDRESS: 9 Front Row Lane, Aliso Viejo CA 92656, United States DESCRIPTION: My wife speaks to people who may be eligible for veterans benefits, gathers information to determine eligibility, helps them gather the necessary paperwork and works with a VA claims agent who applies for benefits for people. These are typically low asset people. REATA GLEN POSITION: Residency Counselor NATURE: New resident sales person. INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 7 START DATE: 06/26/2025 ADDRESS: 2 Las Estrellas Loop, Rancho Mission Viejo CA 92694, United States DESCRIPTION: Call prospective residents of the retirement community. Set up tours of the retirement community. Explain to potential residents the criteria of becoming a community resident.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Alan Hagins's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Hagins'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
May 9, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21550 Oxnard Street Suite 470, Woodland Hills, CA 91367RIA
BD
CRD#: 16164
Woodland Hills, CA
Current
May 9, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21550 Oxnard Street Suite 470, Woodland Hills, CA 91367RIA
BD
CRD#: 16164
Woodland Hills, CA
Past
September 14, 2016 - April 11, 2019
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
ALISO VIEJO, CA
Past
September 14, 2016 - April 11, 2019
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
July 30, 2014 - November 6, 2015
COOPER MCMANUS
RIA
CRD#: 111458
ALISO VIEJO, CA
Past
July 30, 2014 - November 5, 2015
SECURITIES AMERICA, INC.
BD
CRD#: 10205
ALISO VIEJO, CA
Past
January 2, 2014 - July 31, 2014
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
ALISO VIEJO, CA
Past
September 7, 2011 - December 5, 2012
QUEST CAPITAL STRATEGIES, INC.
RIA
CRD#: 16783
ALISO VIEJO, CA
Past
September 7, 2011 - July 31, 2014
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
September 16, 2008 - August 11, 2011
COMERICA SECURITIES
RIA
CRD#: 17079
MISSION VIEJO, CA
Past
September 15, 2008 - August 11, 2011
COMERICA SECURITIES
BD
CRD#: 17079
SAN JUAN CAPISTRANO, CA
Past
May 29, 2007 - May 1, 2008
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
LAGUNA HILLS, CA
Past
July 28, 2006 - May 29, 2007
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LAGUNA HILLS, CA
Past
July 19, 2004 - July 26, 2006
QUEST CAPITAL STRATEGIES, INC.
BD
CRD#: 16783
LAGUNA HILLS, CA
Past
December 8, 2003 - July 15, 2004
WAMU INVESTMENTS, INC.
RIA
CRD#: 599
IRVINE, CA
Past
December 8, 2003 - July 15, 2004
WAMU INVESTMENTS, INC.
BD
CRD#: 599
IRVINE, CA
Past
October 21, 2003 - December 3, 2003
IFMG SECURITIES, INC.
RIA
CRD#: 14416
GRASS VALLEY, CA
Past
February 13, 2003 - December 3, 2003
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
February 5, 2003 - February 6, 2003
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
September 16, 1998 - February 5, 2003
CAL FED INVESTMENTS
BD
CRD#: 19631
SACRAMENTO, CA
Past
January 28, 1998 - June 15, 1998
GLENFED BROKERAGE SERVICES
BD
CRD#: 13648
GLENDALE, CA
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(5/9/2019)
IAR
California(5/9/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
