Sammy L. Battle

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CRD#: 3032290

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.

Sammy L Battle was a registered financial professional .

Sammy is a previously registered financial professional and started their career in finance in 1998. Sammy had worked at 14 firms and has passed the Series 66, Series 7TO, SIE and Series 7 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

March 20, 2020 - April 8, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

CRANFORD, NJ

Past

March 19, 2020 - April 8, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

CRANFORD, NJ

Past

March 22, 2019 - July 18, 2019

EAGLE STRATEGIES LLC

RIA

CRD#: 110826

EDISON, NJ

Past

February 7, 2019 - July 18, 2019

NYLIFE SECURITIES LLC

CRD#: 5167

EDISON, NJ

Past

June 30, 2017 - August 6, 2018

EQUITABLE ADVISORS, LLC

CRD#: 6627

WOODBRIDGE, NJ

Past

June 28, 2017 - August 6, 2018

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

WOODBRIDGE, NJ

Past

January 28, 2015 - October 9, 2015

CAPITAL ONE ADVISORS, LLC

RIA

CRD#: 136865

SEATTLE, WA

Past

January 2, 2015 - October 9, 2015

CAPITAL ONE INVESTING, LLC

CRD#: 45744

ISELIN, NJ

Past

November 28, 2014 - January 28, 2015

CAPITAL ONE FINANCIAL ADVISORS LLC

RIA

CRD#: 127236

E. BRUNSWICK, NJ

Past

November 25, 2014 - January 2, 2015

CAPITAL ONE INVESTMENT SERVICES LLC

CRD#: 25658

NORTH BRUNSWICK, NJ

Past

October 1, 2012 - December 2, 2014

J.P. MORGAN SECURITIES LLC

RIA

CRD#: 79

MONTVALE, NJ

Past

October 1, 2012 - December 2, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

MONTVALE, NJ

Past

February 26, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

CRD#: 25574

SECAUCUS, NJ

Past

February 24, 2010 - October 1, 2012

CHASE INVESTMENT SERVICES CORP.

RIA

CRD#: 25574

SECAUCUS, NJ

Past

October 20, 2004 - July 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

KEYPORT, NJ

Past

October 20, 2004 - July 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

KEYPORT, NJ

Past

November 21, 2002 - October 20, 2004

QUICK & REILLY, INC.

RIA

CRD#: 11217

KEYPORT , NJ

Past

April 25, 2001 - October 20, 2004

QUICK & REILLY, INC.

CRD#: 11217

NEW YORK, NY

Past

July 6, 2000 - April 25, 2001

SUMMIT FINANCIAL SERVICES GROUP, INC.

CRD#: 7246

BETHLEHEM, PA

Past

September 16, 1998 - July 6, 2000

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

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

State Security Law Exam

IAR

Series 66

Date: 4/1/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 7/19/2022

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 8/6/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1998

General Securities 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

Sammy L. Battle

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

EAGLE STRATEGIES LLC

NYLIFE SECURITIES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

CAPITAL ONE ADVISORS, LLC

CAPITAL ONE INVESTING, LLC

CAPITAL ONE FINANCIAL ADVISORS LLC

CAPITAL ONE INVESTMENT SERVICES LLC

J.P. MORGAN SECURITIES LLC

J.P. MORGAN SECURITIES LLC

CHASE INVESTMENT SERVICES CORP.

CHASE INVESTMENT SERVICES CORP.

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

QUICK & REILLY, INC.

QUICK & REILLY, INC.

SUMMIT FINANCIAL SERVICES GROUP, INC.

SIGNATOR INVESTORS, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 4/1/1999

Series 7TO

Date: 7/19/2022

SIE

Date: 8/6/2018

Series 7

Date: 9/15/1998

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

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