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FF

Francisco J. Fuentes

TRANSAMERICA RETIREMENT ADVISORS
Miami, FL
Some features on this profile are disabled
CRD#: 3049086
FF

Professional summary

Francisco Jose Fuentes, CFP®, who also goes by Frank Fuentes, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Miami, Florida and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Francisco is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Francisco has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Frank Fuentes

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) - RIA

Click below to view Francisco Jose Fuentes's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2001

Experience

Current

September 17, 2018 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Miami, FL
Current

September 7, 2018 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
Harrison, NY
Past

November 15, 2005 - September 5, 2018

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
MIAMI, FL
Past

November 14, 2005 - September 5, 2018

CETERA FINANCIAL SPECIALISTS LLC

BD
CRD#: 10358
MIAMI, FL
Past

June 27, 2005 - November 23, 2005

EQUITY SERVICES, INC.

RIA
CRD#: 265
CORAL GABLES, FL
Past

February 11, 2005 - June 8, 2005

EQUITY SERVICES, INC.

RIA
CRD#: 265
CORAL GABLES, FL
Past

February 10, 2005 - November 23, 2005

EQUITY SERVICES, INC.

BD
CRD#: 265
MONTPELIER, VT
Past

October 6, 2000 - September 28, 2004

VALIC FINANCIAL ADVISORS, INC.

RIA
CRD#: 42803
CORAL GABLES, FL
Past

October 6, 2000 - December 31, 2001

THE VARIABLE ANNUITY MARKETING COMPANY

BD
CRD#: 5081
HOUSTON, TX
Past

October 6, 2000 - September 28, 2004

VALIC FINANCIAL ADVISORS, INC.

BD
CRD#: 42803
HOUSTON, TX
Past

May 28, 1998 - September 22, 2000

TRUIST INVESTMENT SERVICES, INC.

BD
CRD#: 17499
ATLANTA, GA

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".
TR
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.

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
Florida
(9/7/2018)
IAR
Florida
(9/17/2018)
RR
Georgia
(9/7/2018)

Exams

State Security Law Exam
IAR
Series 65
Date: 12/16/1999
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 7/23/1999
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 5/27/1998
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

TR
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)
PREMIUM
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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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

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 Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

CRD#: 107319Miami, FL

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