JO
James E. Ormsbee
TRANSAMERICA FINANCIAL ADVISORS
Layton, UT 84041
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CRD#: 3062752
JO
Professional summary
James Eugene Ormsbee, who also goes by Jim Ormsbee, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Layton, Utah.
James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. James has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Jim Ormsbee
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.
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." Country Hills Manor Homeowners Association /0622-Present / 5300 S Adams Ave Pkwy Suite #8, Ogden, UT 84405 / Committee Member / Homeowner Needs / Hrs. Work Monthly: 4 / Sec Trading Hrs: 0 / Meet approximately once a month to discuss needs and concerns of homeowners in working with the property Net Law Group LLC / 0817-Present / Investment Related: No / 12910 Shelbyville Rd, Suite 124 Louisville, KY 40243 / Agent / Online Estate Planning / Hrs Work Monthly: 2/ Sec Trading Hrs: 1/ Provide online living trusts to individuals for estate planning 1)ELKRIDGE ENGINEERING LLC/NOT INVESTMENT RELATED/5460 EAST 2200 NORTH, SUITE 1, EDEN, UT, 84310/CONSULTING CIVIL ENGINEERING/PRESIDENT/01.2005/20/20/PROFESSIONAL ENGINEERING 2)HEALTH OF EDEN LC/NOT INVESTMENT RELATED/5460 E 2200 N, STE 1, EDEN, UT, 84310/SELLS NUTRITIONAL SUPPLEMENTS THROUGH OUR WEBSITE ON THE INTERNET/OWNER/01.2006/10/0/BUY SELL AND SHIP PRODUCTS. MAINTAIN WEBSITE. MANAGED WEALTH FINANCIAL POSITION: null NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 2 START DATE: 01/01/2018 ADDRESS: 10653 River Front Pkwy Ste 100, South Jordan UT 84095, United States DESCRIPTION: WFG Co-Brand WEALTHWAVE POSITION: null NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 15 SECURITIES TRADING HOURS: 8 START DATE: 02/01/2022 ADDRESS: 3030 Royal Blvd S, Suite 200, Alpharetta GA 30022, United States DESCRIPTION: WFG Co-Brand
CRS (Client Relationship Summary) - RIA
Click below to view James Eugene Ormsbee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view James Eugene Ormsbee's 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®
NoneExperience
Current
August 31, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1133 N. Main Street Suite 229, Layton, UT 84041RIA
BD
CRD#: 16164
Layton, UT
Current
July 14, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1133 N. Main Street Suite 229, Layton, UT 84041RIA
BD
CRD#: 16164
Layton, UT
Past
April 20, 2004 - December 15, 2004
QA3 FINANCIAL CORP.
BD
CRD#: 14754
OMAHA, NE
Past
April 12, 2002 - February 11, 2004
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
May 29, 1998 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, 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".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
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.
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
Oregon(9/4/2015)
RR
Utah(7/20/2015)
IAR
Utah(8/31/2016)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
CRD#: 16164 / SEC#: 801-38618, 8-33429
RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)BD
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
Part 2 Brochures
Direct owners and executive officers
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Layton, UT 84041TRUST BUT VERIFY
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