JC
Joseph P. Conlan
TRANSAMERICA RETIREMENT ADVISORS
West Hartford, CT
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CRD#: 4303360
JC
Professional summary
Joseph Patrick Conlan is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in West Hartford, Connecticut and TRANSAMERICA INVESTORS SECURITIES, LLC located in New Port Richey, Florida.
Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Joseph has worked at 7 firms and has passed the Series 65, Series 63, Series 3, SIE, Series 55 and Series 7 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.
Name: No Limit Logistics LLC Investment related: No Address: 801 Farmington Ave. West Hartford, CT. 06119 Nature: Transportation Company focused on moving motorcycles and cars Position: Investor and Mentor, ownership, 40% partner Start date: 3/10/2022 No. HR/MO: 4 No. HR/MO during sec trading: 2 Duties: help business partner with finances, pricing models, growth strategies, etc. Name: Student Academic Solutions LLC Investment related: No Address: 801 Farmington Ave. West Hartford, CT. 06119 Nature: Educational Services Company focused on tutoring high school students virtually in small groups Position: Investor and Mentor, ownership, 50% partner Start date: 3/10/2022 No. HR/MO: 5 No. HR/MO during sec trading: 0 Duties: help business partner with building curriculum, finances, pricing models, growth strategies, etc.
CRS (Client Relationship Summary) - RIA
Click below to view Joseph Patrick Conlan'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
January 11, 2024 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
West Hartford, CT
Current
January 15, 2024 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
New Port Richey, FL
Past
August 8, 2018 - February 15, 2022
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
BOSTON, MA
Past
October 27, 2016 - February 15, 2022
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
BOSTON, MA
Past
May 5, 2011 - December 4, 2015
REALTY CAPITAL SECURITIES, LLC
BD
CRD#: 145454
BOSTON, MA
Past
August 26, 2010 - December 22, 2010
MADISON PROPRIETARY TRADING GROUP, LLC
BD
CRD#: 139818
NEW YORK, NY
Past
January 17, 2006 - December 18, 2007
SUSQUEHANNA FINANCIAL GROUP, LLLP
BD
CRD#: 35865
BALA CYNWYD, PA
Past
January 12, 2001 - January 22, 2008
SAL EQUITY TRADING, GP
BD
CRD#: 29337
BALA CYNWYD, PA
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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.
CRD#: 107319 / SEC#: 801-42910
RIA
Registered Investment Advisory firm - (12/16/1992 Approved)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
Alabama(1/16/2024)
RR
Alaska(2/2/2024)
RR
Arizona(1/23/2024)
RR
Arkansas(1/29/2024)
RR
California(1/16/2024)
RR
Colorado(1/16/2024)
IAR
Connecticut(1/11/2024)
RR
Connecticut(1/16/2024)
RR
Delaware(1/30/2024)
RR
District of Columbia(1/23/2024)
RR
Florida(1/16/2024)
RR
Georgia(1/17/2024)
RR
Hawaii(1/17/2024)
RR
Idaho(1/22/2024)
RR
Illinois(1/24/2024)
RR
Indiana(1/23/2024)
RR
Iowa(1/22/2024)
RR
Kansas(1/18/2024)
RR
Kentucky(1/23/2024)
RR
Louisiana(1/23/2024)
RR
Maine(1/16/2024)
RR
Maryland(1/16/2024)
RR
Massachusetts(1/17/2024)
RR
Michigan(1/17/2024)
RR
Minnesota(1/16/2024)
RR
Mississippi(1/17/2024)
RR
Missouri(1/16/2024)
RR
Montana(1/16/2024)
RR
Nebraska(1/16/2024)
RR
Nevada(1/17/2024)
RR
New Hampshire(1/16/2024)
RR
New Jersey(2/2/2024)
RR
New Mexico(1/16/2024)
RR
New York(1/16/2024)
RR
North Carolina(1/16/2024)
RR
North Dakota(1/22/2024)
RR
Ohio(1/16/2024)
RR
Oklahoma(1/16/2024)
RR
Oregon(1/17/2024)
RR
Pennsylvania(1/16/2024)
RR
Puerto Rico(1/23/2024)
RR
Rhode Island(1/17/2024)
RR
South Carolina(1/18/2024)
RR
South Dakota(1/16/2024)
RR
Tennessee(1/17/2024)
RR
Texas(1/16/2024)
RR
Utah(1/16/2024)
RR
Vermont(1/16/2024)
RR
Virginia(1/24/2024)
RR
Washington(1/16/2024)
RR
West Virginia(1/25/2024)
RR
Wisconsin(1/16/2024)
RR
Wyoming(1/16/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 3/23/2001
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.
CRD#: 107319 / SEC#: 801-42910
RIA
Registered Investment Advisory firm - (12/16/1992 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
