KR
Kim B. Rasmussen
TRANSAMERICA FINANCIAL ADVISORS
Oak Brook, IL 60523
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CRD#: 4262506
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Professional summary
Kim Broge Rasmussen, who also goes by Kim Rasmessen, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oak Brook, Illinois.
Kim is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Kim has worked at 3 firms and has passed the Series 63, Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Kim Rasmessen
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. Net Law Group Inc. / 0522 -Present / Investment Related: No / 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243/ Agent / Estate Planning Service / Hrs. Work Monthly: 4 / Sec Trading Hrs: 1 / Offering estate planning solutions to prospects and clients when it's in their interest. LegacyShield Solutions, Inc / 0521-Present / Investment Related: Yes / 100 Executive Way #105, Jacksonville, FL 32082 / Agent or Advisor / Estate/ Hrs Work Monthly: 4 / Sec Trading Hrs: 1 / offering estate planning solutions to prospects and client when it's in their best interest UNTIL NOW CONSULTING/Investment Related - No/5836 W Carmen Ave. Chicago, IL 60630/General Business Consulting/Owner/03.2017/80/0/General Business Consulting THE DANISH HOME ASSOCIATION POSITION: Director NATURE: Board Member INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 06/01/2023 ADDRESS: 5656 N Newcastle Ave, Chicago IL 60631, United States DESCRIPTION: The board meets every other month to steer theThe Danish Home of Chicagotowards a sustainable future.The board sets policies, approves business decisions, and evaluate executive performance.
CRS (Client Relationship Summary) - RIA
Click below to view Kim Broge Rasmussen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Kim Broge Rasmussen'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
March 2, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2625 Butterfield Rd Suite 126n, Oak Brook, IL 60523RIA
BD
CRD#: 16164
Oak Brook, IL
Current
July 1, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2625 Butterfield Rd Suite 126n, Oak Brook, IL 60523RIA
BD
CRD#: 16164
Oak Brook, IL
Past
April 12, 2002 - February 27, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
November 10, 2000 - 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.
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
IAR
Illinois(3/2/2018)
RR
Illinois(7/23/2024)
IAR
Texas(4/4/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/1/2024
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
General Industry/Product 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.
