Aaron D. Fredrickson

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CRD#: 4145433

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.

Aaron Daniel Fredrickson was a registered financial professional .

Aaron is a previously registered financial professional and started their career in finance in 2000. Aaron had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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)

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, 2014 - February 12, 2026

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

MINNEAPOLIS, MN

Past

January 14, 2013 - February 12, 2026

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

MINNEAPOLIS, MN

Past

April 4, 2007 - January 15, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

ST. PAUL, MN

Past

April 4, 2007 - October 31, 2014

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

ST. PAUL, MN

Past

August 12, 2004 - February 9, 2007

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

BLOOMINGTON, MN

Past

March 24, 2000 - July 7, 2004

TCF INVESTMENTS, INC.

CRD#: 34954

MINNEAPOLIS, MN

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 66

Date: 3/27/2006

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/27/2000

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/9/2005

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 3/23/2000

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 10/8/2004

Investment Company Products/Variable Contracts 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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Firm Stability Insights

Aaron D. Fredrickson

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

TCF INVESTMENTS, INC.

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 3/27/2006

Series 63

Date: 4/27/2000

SIE

Date: 10/1/2018

Series 7

Date: 8/9/2005

Series 6

Date: 3/23/2000

Series 26

Date: 10/8/2004

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

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