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Richard Echevarria
TRANSAMERICA FINANCIAL ADVISORS
Cranford, NJ 07016
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CRD#: 4194008
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Professional summary
Richard Echevarria, ChFC®, CLU® is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cranford, New Jersey.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Richard has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
TRANSAMERICA AGENCY NETWORK/Investment Related - Yes/14 comerce drive suite 300 Cranford NJ 07016/Manage an office/Insurance Agent/10.2014/250/160/Manage office. Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc UNITED FINANCIAL SERVICES, INC./YES/100 LIGHT STREET, BALTIMORE, MD, 21202 INSURANCE AND ANNUITY SALES/INSURANCE/04.01.2015/5/0/PROVIDING INSURANCE PRODUCTS TO CLIENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Echevarria's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Echevarria'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®
Experience
Current
May 18, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 14 Commerce Drive Suite 300, Cranford, NJ 07016RIA
BD
CRD#: 16164
Cranford, NJ
Current
October 31, 2016 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 14 Commerce Drive Suite 300, Cranford, NJ 07016RIA
BD
CRD#: 16164
Cranford, NJ
Past
March 16, 2012 - October 31, 2014
PARK AVENUE SECURITIES LLC
BD
CRD#: 46173
MELVILLE, NY
Past
October 27, 2009 - March 15, 2012
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
BD
CRD#: 611
HAUPPAUGE, NY
Past
January 2, 2008 - October 20, 2009
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
HAUPPAUGE, NY
Past
July 3, 2002 - January 4, 2008
NYLIFE SECURITIES LLC
BD
CRD#: 5167
MELVILLE, NY
Past
December 5, 2000 - June 18, 2002
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, 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".
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
New Jersey(10/31/2016)
IAR
New Jersey(5/18/2017)
RR
Pennsylvania(10/9/2019)
IAR
Pennsylvania(10/15/2019)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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
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.
