RG
Ronald E. Groves
TRANSAMERICA FINANCIAL ADVISORS
Norwood, MA 02062
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CRD#: 4179684
RG
Professional summary
Ronald Edward Groves JR, who also goes by Ron Groves, Ronald Groves, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Norwood, Massachusetts.
Ronald is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2007. Ronald has worked at 4 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ron Groves | Ronald Groves
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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Uber Technologies Inc/Investment Related - No/1725 3rd Street, San Francisco, CA 94158/Ride Share and Deliveries/Driver/04/2018/100/70/Taxi service, ensure safety of clients riding in my vehicle LYFT/Investment Related - No/ 185 Berry St. San Fransico CA 94107 /844-928-3099/Ride Share/Transport passengers/Driver/04/2018/100/70/Transport Passengers, ensure safety of my clients during the ride Dominos/Investment Related - No /2 Mill St Franklin, MA 02038 (508) 520-1000/DELIVER FOOD TO CUSTOMERS VIA PERSONAL VEHICLE TRANSPORT, IN STORE DUTIES SUCH AS CUSTOMER ORDERS AND CLEANING DUTIES/DRIVER/04/2018/80/0/DELIVER FOOD TO CUSTOMERS VIA PERSONAL VEHICLE, IN STORE DUTIES SUCH AS CUSTOMER ORDERS AND CLEANING DUTIES
CRS (Client Relationship Summary) - RIA
Click below to view Ronald Edward Groves JR's 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®
NoneExperience
Current
May 1, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3 Edgewater Drive 1st Floor Suite 103, Norwood, MA 02062RIA
BD
CRD#: 16164
Norwood, MA
Past
February 8, 2022 - April 19, 2022
STATERA FINANCIAL, LLC
RIA
CRD#: 304957
WALPOLE, MA
Past
May 14, 2015 - February 28, 2020
CITIZENS SECURITIES, INC.
RIA
CRD#: 39550
BRIDGEWATER, MA
Past
October 31, 2014 - February 28, 2020
CITIZENS SECURITIES, INC.
BD
CRD#: 39550
BRIDGEWATER, MA
Past
October 24, 2007 - August 13, 2014
NYLIFE SECURITIES LLC
BD
CRD#: 5167
PROVIDENCE, 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".
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.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(5/1/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
Part 2 Brochures
Direct owners and executive officers
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Norwood, MA 02062TRUST BUT VERIFY
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