Javier Ovalles
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.
Javier Ovalles was a registered financial professional .
Javier is a previously registered financial professional and started their career in finance in 1998. Javier had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 31 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 17, 2016 - December 12, 2018
TRANSAMERICA RETIREMENT ADVISORS, LLC
November 6, 2014 - December 12, 2018
TRANSAMERICA INVESTORS SECURITIES, LLC
July 3, 2014 - September 30, 2014
MML DISTRIBUTORS, LLC
December 14, 2012 - May 5, 2014
TRANSAMERICA INVESTORS SECURITIES, LLC
June 3, 2010 - August 28, 2012
JOHN HANCOCK DISTRIBUTORS LLC
May 4, 2006 - September 19, 2007
WELLS FARGO INVESTMENTS, LLC
May 4, 2006 - September 19, 2007
WELLS FARGO INVESTMENTS, LLC
August 20, 2004 - April 3, 2006
PRINCIPAL SECURITIES, INC.
May 12, 2004 - April 3, 2006
PRINCIPAL SECURITIES, INC.
May 29, 2001 - June 21, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
March 21, 2000 - April 20, 2001
CHARLES SCHWAB & CO., INC.
July 27, 1999 - February 29, 2000
MORGAN STANLEY DW INC.
November 2, 1998 - July 6, 1999
PRINCIPAL SECURITIES, INC.
October 7, 1998 - October 30, 1998
IDS LIFE INSURANCE COMPANY
October 7, 1998 - October 30, 1998
AMERIPRISE FINANCIAL SERVICES, LLC
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.
