Glenn B. Rodney

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CRD#: 4625390

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.

Glenn Brian Rodney was a registered financial professional .

Glenn is a previously registered financial professional and started their career in finance in 2003. Glenn had worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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 VANTAGE POINT CONDOMINIUM ASSOCIATION, INC / INVESTMENT RELATED: NO / 3245 PEACHTREE PARKWAY D305, SUWANEE, GA 30024 / NATURE OF BUSINESS: MANAGE THE COMPANY / TITLE: PRESIDENT / HOURS PER MONTH:3 / DURING TRADING HOURS: 0 / WEEKLY ACTIVITIES: MANAGING THE BOARD AND THE DIRECTION OF REGULAR MAINTAINENCE, UNANTICIPATED PROJECTS, ANNUAL BUDGETING / NO ADDITIONAL RESTRICTIONS GUARDIAN PRODUCTS, INC. POSITION: account executive NATURE: promotional products INVESTMENT RELATED: No NUMBER OF HOURS: 150 SECURITIES TRADING HOURS: 6 START DATE: 11/27/2023 ADDRESS: 5575 spalding drive, Peachtree Corners GA 30092, United States DESCRIPTION: sales to existing customers with are new / used car dealerships selling them service items and promotional products.

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

June 1, 2015 - September 4, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Alpharetta, GA

Past

May 22, 2015 - September 4, 2024

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

Alpharetta, GA

Past

December 20, 2006 - May 8, 2015

PRINCIPAL SECURITIES, INC.

RIA

CRD#: 1137

ALPHARETTA, GA

Past

November 30, 2006 - May 8, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

ALPHARETTA, GA

Past

January 29, 2004 - December 1, 2006

MML INVESTORS SERVICES, LLC

RIA

CRD#: 10409

ATLANTA, GA

Past

November 19, 2003 - December 1, 2006

MML INVESTORS SERVICES, LLC

CRD#: 10409

ATLANTA, GA

Past

May 23, 2003 - November 11, 2003

OSAIC FA, INC.

RIA

CRD#: 3978

ATLANTA, GA

Past

March 6, 2003 - November 11, 2003

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

March 6, 2003 - November 11, 2003

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 5/16/2003

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/4/2003

General Securities Representative Examination

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

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

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Advisor Monitoring

Firm Stability Insights

Glenn B. Rodney

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

PRINCIPAL SECURITIES, INC.

PRINCIPAL SECURITIES, INC.

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

OSAIC FA, INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/16/2003

SIE

Date: 10/1/2018

Series 7

Date: 3/4/2003

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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