PP
Phillip J. Pardo
TRANSAMERICA FINANCIAL ADVISORS
OAK BROOK, IL 60523
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CRD#: 4389960
PP
Phillip James PardoTRANSAMERICA FINANCIAL ADVISORS
Professional summary
Phillip James Pardo is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oak Brook, Illinois.
Phillip is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2001. Phillip has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Legacy Shield Solutions, Inc. / 0521-Present / Investment Related: Yes or No / 100 Executive Way #105 Ponte Vedra, FL 32082/Sales Rep / Estate Planning / Hrs Work Monthly: 2 / Sec Trading Hrs: 1 / To offer products and services to clients requesting estate planning. AETNA HEALTH INSURANCE NOT INVESTMENT RELATED, SUGAR LAND, TX, NATURE OF BUSINESS: HEALTH INSURANCE, POSITION: SALES REPRESENTATIVE, RELATIONSHIP WITH OBA: INDEPENDENT CONTRACTOR, 04/2009 TO PRESENT, APPROX. # OF HRS/MO. DEVOTED TO OBA: 5HRS/MONTH, # OF HRS DURING SECURITIES TRADING HOURS: 1 HOUR, BRIEF DESCRIPTION OF DUTIES: OFFER HEALTH INSURANCE PRODUCTS. ALL KIDS NOT INVESTMENT RELATED, HOFFMAN ESTATES, IL, NATURE OF BUSINESS: HEALTH INSURANCE OF KIDS, POSITION: SALES REP, RELATIONSHIP WITH OBA: INDEPENDENT CONTRACTOR, START DATE: 06/2008, APPROX. # OF HRS/MO. DEVOTED TO OBA: 5HRS/MO, # OF HRS DURING SECURITIES TRADING HOURS: 1HOUR. BRIEF DESCRIPTION OF DUTIES: OFFER HEALTH INSURANCE BENEFITS TO CHILDREN AND LOWER INCOME FAMILIES. EMPLOYEE BENEFIT RISK MANAGEMENT SERVICES, INC NOT INVESTMENT RELATED, OAK BROOK, IL NATURE OF BUSINESS: HEALTH INSURANCE BENEFITS, POSITION: SALES REP, RELATIONSHIP WITH OBA: INDEPENDENT CONTRACTOR, START DATE: 06/2008, APPROX. # OF HRS/MO. DEVOTED TO OBA: 7HRS/MONTH, # OF HRS DURING SECURITIES TRADING HOURS: 1HOUR, BRIEF DESCRIPTION OF DUTIES: OFFER INDIVDUAL AND GROUP HEALTH INSURANCE PRODUCTS. HUMANA NOT INVESTMENT RELATED, MIDDLETON, WI, NATION OF BUSINESS: HEALTH INSURANCE, POSITION: SALES REP, RELATIONSHIP WITH OBA: INDEPENDENT CONTRACTOR, START DATE: 06/2008, APPROX. # OF HRS/MO. DEVOTED TO OBA: 5HRS/MONTH, # OF HRS DURING SECURITIES TRADING HOURS: 1HRS, BRIEF DESCRIPTION OF DUTIES: OFFER INDIVDUAL AND GROUP HEALTH INSURANCE PRODUCTS. THE PRODUCERS ALLIANCE NOT INVESTMENT RELATED, HOFFMAN ESTATES, IL NATURE OF BUSINESS: HEALTH INSURANCE, POSITION: SALES REP, RELATIONSHIP WITH OBA: INDEPENDENT CONTRACTOR, START DATE: 06/2008, APPROX. # OF HRS/MO. DEVOTED TO OBA: 2HOURS/MO. # OF HRS DURING SECURITIES TRADING HOURS: 1HOUR, BRIEF DESCRIPTION OF DUTIES: OFFER HEALTH INSURANCE PRODUCTS. HUMAN MARKETPOINT; NOT INVESTMENT-RELATED; 2301 W. 22ND ST., STE 301, OAK BROOK, IL 60523; PROVIDES MEDICARE PRODUCTS THROUGH HUMANA; REFERRAL AGENT; 09/30/2013; 0 HRS/MONTH; SIMPLY TO REFER PROSPECTS WITH AN INTEREST IN MEDICARE PRODUCTS NATIONAL CORPORATE ADVISORS, INC DBA NATIONAL CORPORATE CREDIT / emp dates: 0419 TO PRESENT/ INVESTMENT RELATED: NO /address: 164 E. CHICAGO ST. 100 ELGIN, IL 60120/ position: SALES REP/ nature of business: CAPITAL LOANS / hrs work monthly: 1 /Sec trading hrs: 0 / duties: IF AN INDIVIDUAL IS LOOKING TO OPEN A BUSINESS OR HAS AN EXISTING BUSINESS, YET NEEDS ADDITIONAL CAPITAL TO EXPAND AND GROW, I WOULD REFER THEM TO NATIONAL CORP CREDIT TO APPLY FOR A BUSINESS LOAN
CRS (Client Relationship Summary) - RIA
Click below to view Phillip James Pardo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Phillip James Pardo'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 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2625 Butterfield Rd Suite 126n, Oak Brook, IL 60523RIA
BD
CRD#: 16164
OAK BROOK, IL
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2625 Butterfield Rd Suite 126n, Oak Brook, IL 60523RIA
BD
CRD#: 16164
OAK BROOK, IL
Past
March 2, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
OAK BROOK, IL
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
OAK BROOK, IL
Past
August 7, 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
Florida(1/6/2012)
RR
Illinois(1/6/2012)
IAR
Illinois(1/6/2012)
RR
Indiana(2/6/2024)
RR
Texas(7/26/2022)
IAR
Texas(7/27/2022)
RR
Washington(5/2/2024)
RR
Wisconsin(10/11/2022)
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.
