JL
Juliana Lanier
TRANSAMERICA FINANCIAL ADVISORS
Stockton, CA 95207
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CRD#: 4592997
JL
Professional summary
Juliana Lanier, who also goes by Ulyana Brjozovskaya, Ulyana Pollack, Ulyana Pollak, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Stockton, California.
Juliana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Juliana has worked at 6 firms and has passed the Series 66, SIE, Series 7 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Ulyana Brjozovskaya | Ulyana Pollack | Ulyana Pollak
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. REALTA CORPORATION/INVESTMENT RELATED ~ NO/793 S TRACY BLVD TRACY, CA 95376/I AM A PRESIDENT AND BORKER OF RECORD FOR REALTA CORPORATION SINCE 04/2005, REAL ESTATE BROKERAGE/I AM SOLE THE SOLE EMPLOYEE FOR THIS BUSINESS/I DEDICATED UP TO 15 HOURS A WEEK WORKING IN THIS BUSINESS/PRESIDENT/04.2005/40/0/REAL ESTATE AND RESIDENTIAL MORTGAGE BROKER
CRS (Client Relationship Summary) - RIA
Click below to view Juliana Lanier's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Juliana Lanier'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
June 12, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1036 W Robinhood Dr #206, Stockton, CA 95207RIA
BD
CRD#: 16164
Stockton, CA
Current
June 12, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1036 W Robinhood Dr #206, Stockton, CA 95207RIA
BD
CRD#: 16164
Stockton, CA
Past
July 27, 2009 - July 12, 2011
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MODESTO, CA
Past
July 8, 2009 - July 12, 2011
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
February 21, 2007 - November 9, 2007
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
April 3, 2006 - October 19, 2007
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
Past
July 15, 2004 - November 4, 2004
CITICORP INVESTMENT SERVICES
BD
CRD#: 23988
LONG ISLAND CITY, NY
Past
January 14, 2003 - April 17, 2003
IDS LIFE INSURANCE COMPANY
BD
CRD#: 6321
MINNEAPOLIS, MN
Past
January 14, 2003 - April 17, 2003
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
MINNEAPOLIS, MN
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(6/12/2013)
IAR
California(6/12/2013)
Exams
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Stockton, CA 95207TRUST BUT VERIFY
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