Dale D. Polka
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.
Dale David Polka II, who also goes by Dale David Polka, was a registered financial professional .
Dale is a previously registered financial professional and started their career in finance in 1998. Dale had worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 27, 2013 - December 5, 2023
TRANSAMERICA RETIREMENT ADVISORS, LLC
July 13, 2006 - December 5, 2023
TRANSAMERICA INVESTORS SECURITIES, LLC
March 15, 2004 - July 6, 2006
VALIC FINANCIAL ADVISORS, INC.
February 19, 2004 - July 6, 2006
VALIC FINANCIAL ADVISORS, INC.
March 25, 1998 - September 30, 2002
A. G. EDWARDS & SONS, INC.
January 14, 1998 - September 30, 2002
A. G. EDWARDS & SONS, 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.
