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DF

Donald R. Fittsgill

Some features on this profile are disabled
CRD#: 4576904
DF

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Donald Ray Fittsgill JR, who also goes by Donald Ray Fittsgill Jr, Donald Ray Fittsgill Jr, Donald Ray Fittsgill Jr., Donald Ray Fittsgill, was a registered financial professional .

Donald is a previously registered financial professional and started their career in finance in 2006. Donald had worked at 10 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Donald Ray Fittsgill Jr | Donald Ray Fittsgill Jr | Donald Ray Fittsgill Jr. | Donald Ray Fittsgill

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. PODCAST DOC/Investment Related - No/6600 Windhaven Pkwy Apt. 102, The Colony, Tx, 75056 - 469-261-2856/I am the owner of this company. Primarily, I teach people how to become working voice actors and podcasters. /Freelancer/04.2015/10/0/I am the owner of this company. Primarily, I teach people how to become working voice actors and podcasters. PICKLEBALL KINGDOM/Investment Related - No/14060 Dallas Pkwy, Dallas, Texas, 75240/I will perform duties at pickleball gym. Check in guest, maintain courts, coach students, host events. /Front Desk Associate/01.2025/80/32/I will perform duties at pickleball gym. Check in guest, maintain courts, coach students, host events. PICKLEBALL KINGDOM POSITION: Host NATURE: Pickleball Gym INVESTMENT RELATED: No NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 12/27/2024 ADDRESS: 14060 Dallas Pkwy, Suite D, Dallas TX 75240, United States DESCRIPTION: Greet members when they arrive, assist members with any questions/issues, coach members/non-members as needed.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

January 29, 2025 - June 25, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
PLANO, TX
Past

January 29, 2025 - June 25, 2025

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
PLANO, TX
Past

August 14, 2024 - January 14, 2025

EQUITABLE ADVISORS, LLC

RIA
CRD#: 6627
DALLAS, TX
Past

July 17, 2024 - January 14, 2025

EQUITABLE ADVISORS, LLC

BD
CRD#: 6627
DALLAS, TX
Past

August 29, 2014 - April 3, 2015

MULLINTBG ADVISORS

RIA
CRD#: 141445
DALLAS, TX
Past

September 16, 2013 - April 6, 2015

M HOLDINGS SECURITIES, INC.

BD
CRD#: 43285
DALLAS, TX
Past

February 5, 2013 - October 3, 2013

NATIONAL PLANNING CORPORATION

BD
CRD#: 29604
DALLAS, TX
Past

September 10, 2012 - October 24, 2012

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

August 27, 2012 - October 24, 2012

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

May 11, 2012 - August 3, 2012

FIRST SOUTHWEST COMPANY, LLC

BD
CRD#: 316
DALLAS, TX
Past

January 16, 2008 - January 3, 2012

CLARK SECURITIES, INC.

BD
CRD#: 43803
DALLAS, TX
Past

July 10, 2007 - December 18, 2007

TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC

BD
CRD#: 20472
LEWISVILLE, TX
Past

August 23, 2006 - June 26, 2007

TD AMERITRADE CLEARING, INC.

BD
CRD#: 5633
FORT WORTH, TX

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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/6/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/14/2006
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 7/16/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 5/29/2024
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 6/22/2006
General Securities Representative Examination

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)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)
TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

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.

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

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