Ronald Wheat

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CRD#: 3041782

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.

Ronald Wheat, who also goes by Ron Wheat, Ronald Francis Wheat, was a registered financial professional .

Ronald is a previously registered financial professional and started their career in finance in 1998. Ronald had worked at 8 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ron Wheat | Ronald Francis Wheat

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.

1. Rental property 2. non-investment related business 3. address: 20 N Bobwhite Road in Wildwood, FL 34785 4. rental property with wife 5. joint ownership 6. joint owner with wife 7. July 2021 8. less than one hours/month to other business 9. less than 1 hours/month to other business during securities trading hours 10. duties would be minor work/cleanup around the property or collecting rent

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

December 27, 2018 - May 7, 2025

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Lutz, FL

Past

December 17, 2018 - May 7, 2025

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

Lutz, FL

Past

August 1, 2011 - March 19, 2018

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

July 22, 2011 - May 3, 2013

SII INVESTMENTS, INC.

CRD#: 2225

APPLETON, WI

Past

July 22, 2011 - March 19, 2018

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

April 13, 2011 - May 31, 2011

RAYMOND JAMES & ASSOCIATES, INC.

RIA

CRD#: 705

ST. PETERSBURG, FL

Past

April 5, 2011 - May 31, 2011

RAYMOND JAMES & ASSOCIATES, INC.

CRD#: 705

ST. PETERSBURG, FL

Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

WEEKI WACHEE, FL

Past

October 23, 2009 - December 6, 2010

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

WEEKI WACHEE, FL

Past

March 16, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

RIA

CRD#: 16361

TAMPA, FL

Past

March 14, 2006 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

TAMPA, FL

Past

February 22, 2000 - March 10, 2006

INVEST FINANCIAL CORPORATION

RIA

CRD#: 12984

TAMPA, FL

Past

February 22, 2000 - March 10, 2006

INVEST FINANCIAL CORPORATION

CRD#: 12984

TAMPA, FL

Past

October 27, 1998 - February 7, 2000

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

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 RETIREMENT ADVISORS, LLC

DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA

Registered Investment Advisory firm - (12/16/1992 Approved)

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 65

Date: 5/21/1999

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 2/12/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 3/19/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/1998

General Securities Representative Examination

Principal/Supervisory Exam

Series 4

Date: 7/24/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 53

Date: 12/20/2005

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 3/9/2001

General Securities Principal Examination

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.

CRD#: 107319 / SEC#: 801-42910

RIA

Registered Investment Advisory firm - (12/16/1992 Approved)

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Contact information

Main Address

6400 C Street Sw, Cedar Rapids, IA 52499

Mailing Address

Phone number

(866) 368-0566

Established

Firm type

Fiscal year end

# of Employees

383

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

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	Cover Page	Report
10/25/2024	Cover Page	Report
07/25/2023	Cover Page	Report

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

Ronald Wheat

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

INVEST FINANCIAL CORPORATION

SII INVESTMENTS, INC.

INVEST FINANCIAL CORPORATION

RAYMOND JAMES & ASSOCIATES, INC.

RAYMOND JAMES & ASSOCIATES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

BANC OF AMERICA INVESTMENT SERVICES, INC.

INVEST FINANCIAL CORPORATION

INVEST FINANCIAL CORPORATION

RAYMOND JAMES FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/21/1999

Series 63

Date: 2/12/1999

Series 52TO

Date: 1/2/2023

SIE

Date: 3/19/2018

Series 7

Date: 10/26/1998

Series 4

Date: 7/24/2008

Series 53

Date: 12/20/2005

Series 24

Date: 3/9/2001

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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