AP
Ashok R. Patel
TRANSAMERICA FINANCIAL ADVISORS
New York, NY 10011
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CRD#: 4595409
AP
Professional summary
Ashok R Patel is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in New York, New York.
Ashok is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ashok has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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.
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. TULSI LLC DBA LIQUOR OUTLET/Investment Related - No/400 NORTH MAIN STREET SOUTHINGTON CT 06489/RETAIL LIQUOR STORE/MEMBER/08.2005/110/0/RETAIL MANAGER AMEE LLC/Investment Related - No/400 NORTH MAIN STREET SOUTHINGTON CT 06489/IT'S RENTAL REAL ESTATE STRIP MALL/MEMBER/08.2005/10/0/PROPERTY MAMAGER, COLLECTING THE RENTS, GENERAL MAINTETANCE amp; REPAIRS, UPKEEPING THE PLACE ETC
CRS (Client Relationship Summary) - RIA
Click below to view Ashok R Patel's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ashok R Patel'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
October 26, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 116 West 23rd Street Suite 500, New York, NY 10011RIA
BD
CRD#: 16164
New York, NY
Current
October 26, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 116 West 23rd Street Suite 500, New York, NY 10011RIA
BD
CRD#: 16164
New York, NY
Past
July 19, 2012 - September 27, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
NEW YORK, NY
Past
January 6, 2012 - September 27, 2022
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
NEW YORK, NY
Past
March 16, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
NEW ROCHELLE, NY
Past
September 14, 2009 - December 31, 2010
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
BERLIN, CT
Past
January 23, 2008 - March 10, 2009
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ROCKY HILL, CT
Past
December 19, 2002 - October 23, 2007
SIGNATOR INVESTORS, INC.
BD
CRD#: 468
ROCKY HILL, CT
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
Connecticut(10/26/2022)
IAR
Connecticut(11/11/2022)
RR
Florida(10/26/2022)
RR
New Jersey(7/30/2024)
IAR
New Jersey(7/31/2024)
RR
New York(10/26/2022)
IAR
New York(10/26/2022)
RR
Virginia(10/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
