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CC

Caterina Costante

TRANSAMERICA RETIREMENT ADVISORS
Prescott, AZ
Some features on this profile are disabled
CRD#: 3096165
CC

Professional summary

Caterina Costante, who also goes by Caterina Costane, Caterina Costante, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Prescott, Arizona and TRANSAMERICA INVESTORS SECURITIES, LLC located in Brewster, New York.

Caterina is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Caterina has worked at 8 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Caterina Costane | Caterina Costante

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.
HIPPIE BUS LLC. RESTAURANT OWNED JOINTLY WITH SPOUSE. NON INVESTMENT RELATED. ADDRESS IS 2912 Elm St, Dallas, TX. START DATE APRIL 2004. DUTIES INCLUDE WORKING FRIDAY AND SATURDAY NIGHTS, MAKING ADMINISTRATIVE BUSINESS DECISIONS, FINANCES, MENU DEVELOPMENT, HIRING AND MARKETING. DEVOTE 20-30 HRS/MO, WITH NONE DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Caterina Costante'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®
None

Experience

Current

September 2, 2022 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Prescott, AZ
Current

September 2, 2022 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

BD
CRD#: 32205
Brewster, NY
Past

July 29, 2020 - August 24, 2022

EMPOWER ADVISORY GROUP, LLC

RIA
CRD#: 112058
Dallas, TX
Past

July 29, 2020 - August 24, 2022

EMPOWER FINANCIAL SERVICES, INC.

BD
CRD#: 13109
GREENWOOD VILLAGE, CO
Past

October 16, 2019 - July 20, 2020

TRUSTAGE INVESTMENT MANAGEMENT

RIA
CRD#: 105960
MADISON, WI
Past

December 4, 2003 - July 20, 2020

CUNA BROKERAGE SERVICES, INC.

RIA
CRD#: 13941
DALLAS, TX
Past

December 4, 2003 - July 20, 2020

CUNA BROKERAGE SERVICES, INC.

BD
CRD#: 13941
WAVERLY, IA
Past

May 5, 2003 - November 19, 2003

CHARLES SCHWAB & CO., INC.

RIA
CRD#: 5393
DALLAS, TX
Past

March 27, 2000 - November 19, 2003

CHARLES SCHWAB & CO., INC.

BD
CRD#: 5393
WESTLAKE, TX
Past

December 5, 1998 - February 1, 2000

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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
Arizona
(4/18/2023)
IAR
Arizona
(4/18/2023)
RR
Texas
(9/2/2022)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/29/2003
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/6/1998
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: 11/14/1998
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)
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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#: 107319Prescott, AZ

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