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Yvette Ferrer Laquihon

Yvette F. Laquihon

TRANSAMERICA FINANCIAL ADVISORS | Financial Professional
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 4179380
Yvette Ferrer Laquihon

Professional summary

Yvette Ferrer Laquihon, who also goes by Maria Yvette Ferrer Laquihon, Yvette Ferrer Laquihon, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oakbrook Terrace, Illinois.

Yvette is registered as a RR (Registered Representative) and started their career in finance in 2001. Yvette has worked at 3 firms and has passed the Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?
No

Aliases

Maria Yvette Ferrer Laquihon | Yvette Ferrer Laquihon

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) - BD

Click below to view Yvette Ferrer Laquihon'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

March 30, 2026 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181
RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Past

January 6, 2012 - December 22, 2021

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
LOS ANGELES, CA
Past

April 12, 2002 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
OAKBROOK TERRACE, IL
Past

February 12, 2001 - 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 7/9/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/16/2024
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/2001
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/16/2024
Investment Company Products/Variable Contracts Principal Examination
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

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

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

Red Flags

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Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

Financial ProfessionalCRD#: 16164Oakbrook Terrace, IL 60181

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Contact information

(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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