James F. Traylor

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CRD#: 3219121

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.

James Foddrell Traylor SR, who also goes by James F Traylor Sr, was a registered financial professional .

James is a previously registered financial professional and started their career in finance in 1999. James had worked at 8 firms and has passed the Series 66, Series 6TO, SIE, Series 6, Series 31, Series 7, Series 24 and Series 30 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

James F Traylor Sr

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 products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc NAME: UNITED FINFNCIAL SERVICES, INC/YES/100 LIGHT STREET, BALTIMORE, MD 21202/INSURANCE AND INVESTMENTS REP/07/2021/80/80/INSURANCE AND INVESTMENTS NAME: TRANSAMERICA AGENCY NETWORK/YES/100 LIGHT STREET, BALTIMORE, MD 21202/INSURANCE AND INVESTMENTS REP/07/2021/80/80/INSURANCE AND INVESTMENTS NAME: TRAYLOR TAX SERVICES/NO/4756 G FISHBURG ROAD, HUBER HEGHTS OH 45424/TAX SERVICES OWNER/01.2020/8/0/OWNER NAME: University of Phoenix/NO/4035 S RIVERPOINT PKWY, PHOENIX AZ 85040/PROFESSOR/ O8.2002/4/12/PROFESSOR NAME: CENTRAL STATE UNIVERSITY INV REL: Y ADD: 1400 BRUSH ROW RD, WILBERFORCE, OH 45384 NATURE: COLLEGE POSITION: PROFESSOR THAT TEACH ACCOUNTING, FINANCE, AND ENTREPRENEURSHIP START DATE: 2010 NO. HR/MO: 48 NO. HR/MO DURING SEC TRADING: 48

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

January 21, 2022 - December 31, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Miamisburg, OH

Past

October 21, 2021 - December 31, 2022

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Miamisburg, OH

Past

January 12, 2016 - July 11, 2019

CAPITAL CITY SECURITIES, LLC

CRD#: 146001

POWELL, OH

Past

January 7, 2016 - July 11, 2019

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

RIA

CRD#: 134008

Huber Heights, OH

Past

October 22, 2015 - January 11, 2016

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

BEAVERCREEK, OH

Past

June 25, 2015 - January 11, 2016

MML INVESTORS SERVICES, LLC

CRD#: 10409

BEAVERCREEK, OH

Past

September 15, 2004 - January 4, 2008

LPL FINANCIAL LLC

RIA

CRD#: 6413

CENTERVILLE, OH

Past

September 13, 2004 - January 4, 2008

LPL FINANCIAL LLC

CRD#: 6413

CENTERVILLE, OH

Past

March 7, 2003 - May 24, 2004

BANC ONE SECURITIES CORPORATION

RIA

CRD#: 16999

BEAVERCREEK, OH

Past

March 6, 2003 - May 24, 2004

BANC ONE SECURITIES CORPORATION

CRD#: 16999

CHICAGO, IL

Past

September 20, 2000 - March 20, 2003

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

June 2, 1999 - September 22, 2000

MORGAN STANLEY DW INC.

CRD#: 7556

PURCHASE, NY

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: 6/14/1999

Uniform Combined State Law Examination

General Industry/Product Exam

Series 6TO

Date: 1/21/2022

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 6/25/2015

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 31

Date: 6/19/1999

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/1/1999

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 12/28/2006

General Securities Principal Examination

Principal/Supervisory Exam

Series 30

Date: 2/25/2005

NFA Branch Manager 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

James F. Traylor

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

CAPITAL CITY SECURITIES, LLC

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

LPL FINANCIAL LLC

LPL FINANCIAL LLC

BANC ONE SECURITIES CORPORATION

BANC ONE SECURITIES CORPORATION

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 6/14/1999

Series 6TO

Date: 1/21/2022

SIE

Date: 10/1/2018

Series 6

Date: 6/25/2015

Series 31

Date: 6/19/1999

Series 7

Date: 6/1/1999

Series 24

Date: 12/28/2006

Series 30

Date: 2/25/2005

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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