ND
Nichole L. Dorch-cannon
TRANSAMERICA FINANCIAL ADVISORS
Torrance, CA 90501
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CRD#: 4369874
ND
Professional summary
Nichole L Dorch-cannon, who also goes by Nichole L Cannon, Nichole L Dorch, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Torrance, California.
Nichole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Nichole has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nichole L Cannon | Nichole L Dorch
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. Synergy FinancialTorranceCaliforniaUnited StatesYesNA 10/2016PRESENT CRAIG-ELLISON LLC; 10/01/2004; 7806 HINDRY AVE, LOS ANGELES, CA 90045; PARTNER; YES RELATED; MY FATHER PASSED, ASSETS WITHIN THIS OBA ARE THE REMAINS OF HIS ESTATE; 0 HRS/MO; 0 TRADING; NO DUTIES - I COLLECT THE INCOME FROM MY FATHERS PRIOR TRUST. Netlaw / Investment related: NO / 12910 Shelbyville Rd. Suite 124 Louisville KY 40243 / this company offers Living Trusts and Will Title / Independent Associate / 04/22/2019 / hours per month 1 / Hours during Securities Trading 0 / refer clients to the website K & N CANNON/NO/21151 S. WESTERN AVE, SUITE 165, TORRANCE, CA 90501/NO TYPE OF BUSINESS. JUST FOR BUSINESS TAX PURPOSES/DIRECTOR/11.04.2016/0/0/NONE. BLACK EXCELLENCE LEADERSHIP COUNCIL, SPC POSITION: Board Member, Treasurer NATURE: The organization is internal council brought together to provide overlapping leadership and training for the agents inside WFG. All agents are invited to participate in training, and recognition and events. INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 11/30/2023 ADDRESS: 400 Corporate Pointe, Suite 300, Culver City CA 90230, United States DESCRIPTION: I oversee the organization and details of putting together our internal WFG agent only training events either in person or on zoom.
CRS (Client Relationship Summary) - RIA
Click below to view Nichole L Dorch-cannon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nichole L Dorch-cannon'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 27, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
September 18, 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.
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
California(1/6/2012)
IAR
California(1/27/2017)
RR
District of Columbia(11/17/2022)
IAR
District of Columbia(3/13/2023)
RR
Georgia(4/26/2022)
RR
Illinois(9/11/2024)
RR
Indiana(11/9/2022)
RR
Kentucky(1/4/2022)
RR
Maryland(1/15/2021)
RR
North Carolina(11/14/2022)
IAR
North Carolina(1/9/2023)
RR
Ohio(1/4/2022)
RR
Texas(7/8/2024)
IAR
Texas(7/8/2024)
RR
Virginia(1/21/2021)
Exams
State Security Law Exam
State Security Law 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.
