Attila Zsigmond

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CRD#: 4177498

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.

Attila Zsigmond, who also goes by Zsigmond Attila, Attila Zsigmond, was a registered financial professional .

Attila is a previously registered financial professional and started their career in finance in 2000. Attila had worked at 11 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Zsigmond Attila | Attila Zsigmond

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

March 24, 2023 - December 31, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Murfreesboro, TN

Past

January 16, 2017 - December 5, 2022

FARMERS FINANCIAL SOLUTIONS, LLC

CRD#: 103863

FRANKLIN, TN

Past

April 24, 2014 - May 18, 2016

TD AMERITRADE, INC.

CRD#: 7870

BRENTWOOD, TN

Past

April 23, 2014 - May 18, 2016

TD AMERITRADE, INC.

RIA

CRD#: 7870

BRENTWOOD, TN

Past

April 23, 2014 - May 18, 2016

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

BRENTWOOD, TN

Past

October 24, 2013 - April 8, 2014

SIGNATOR INVESTORS, INC.

RIA

CRD#: 468

NASHVILLE, TN

Past

October 3, 2013 - April 8, 2014

SIGNATOR INVESTORS, INC.

CRD#: 468

NASHVILLE, TN

Past

July 16, 2012 - October 4, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MONROE, CT

Past

July 12, 2012 - October 4, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MONROE, CT

Past

February 7, 2011 - May 30, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW HAVEN, CT

Past

October 28, 2010 - May 30, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW HAVEN, CT

Past

January 1, 2008 - January 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WOODBRIDGE, CT

Past

August 14, 2007 - January 29, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WOODBRIDGE, CT

Past

July 6, 2006 - August 16, 2007

NEWALLIANCE INVESTMENTS, INC.

CRD#: 126880

WEST HAVEN, CT

Past

July 1, 2005 - July 3, 2006

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

MIDDLETOWN, CT

Past

December 7, 2004 - February 23, 2005

BELLE HAVEN INVESTMENTS, L.P.

CRD#: 29278

RYE BROOK, NY

Past

June 16, 2000 - February 6, 2004

PEOPLE'S SECURITIES, INC.

CRD#: 13704

BRIDGEPORT, CT

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: 12/21/2007

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/11/2000

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: 6/15/2000

General Securities Representative 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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Firm Stability Insights

Attila Zsigmond

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

FARMERS FINANCIAL SOLUTIONS, LLC

TD AMERITRADE, INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

SIGNATOR INVESTORS, INC.

SIGNATOR INVESTORS, INC.

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRANSAMERICA FINANCIAL ADVISORS, LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

NEWALLIANCE INVESTMENTS, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

BELLE HAVEN INVESTMENTS, L.P.

PEOPLE'S SECURITIES, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/21/2007

Series 63

Date: 7/11/2000

SIE

Date: 10/1/2018

Series 7

Date: 6/15/2000

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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