JR
Jonathan M. Richard
TRANSAMERICA FINANCIAL ADVISORS
Dayton, OH 45459
Some features on this profile are disabled
CRD#: 4633272
JR
Professional summary
Jonathan Michael Richard is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Dayton, Ohio.
Jonathan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Jonathan has worked at 2 firms and has passed the Series 65, 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 Transamerica Agency Network: 10 hours during trading / Investment Related - Yes / 521 Water Street, #206, Dayton, OH 45402 / Managing Director / life insurance products. JONATHAN M. RICHARD, attorney at Law/Investment Related - No/521 water Street #206 Dayton, OH 45402 Phone: 937-726-2786/Legal services/Attorney/09.2000/10/10/Provide legal services for clients SHELBY COUNTY OHIO/Investment Related - No/129 East Court Street, Lower Level; Sidney, Ohio 45365/Represent indigent criminal clients/defendants/Public Defender/11.2011/20/5/Supervisor of department of 7 attorneys and administrative staff. Overseeing daily functions of the Department. MERCY MISSION HOUSE \ POSITION: Board Member NATURE: Homeless shelter INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 07/02/2024 ADDRESS: 950 Children's Home Road, Sidney OH 45365 \ DESCRIPTION: Monthly meeting to assist in the policies and procedures of the organization. RICHARD INVESTMENT PROFESSIONALS, LTD POSITION: President NATURE: Financial Investing and planning. INVESTMENT RELATED: Yes NUMBER OF HOURS: 200 SECURITIES TRADING HOURS: 7 START DATE: 12/07/2023 ADDRESS: 521 Water Street, Suite #206, Dayton OH 45402, United States DESCRIPTION: Meeting with and consulting with current and potential clietns regarding their current financial sistuation and to assist in providing financial advise and product solutions towards their goals.
CRS (Client Relationship Summary) - RIA
Click below to view Jonathan Michael Richard's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jonathan Michael Richard'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
March 24, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6490 Centerville Business Parkway, Dayton, OH 45459RIA
BD
CRD#: 16164
Dayton, OH
Current
March 24, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6490 Centerville Business Parkway, Dayton, OH 45459RIA
BD
CRD#: 16164
Dayton, OH
Past
August 6, 2003 - January 19, 2023
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
COLUMBUS, OH
Past
February 17, 2003 - January 19, 2023
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
COLUMBUS, OH
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
Colorado(8/11/2025)
RR
Florida(7/10/2024)
IAR
Ohio(3/24/2023)
RR
Ohio(3/27/2023)
Exams
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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 16164Dayton, OH 45459TRUST BUT VERIFY
Monitor Jonathan Richard
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
