TA
Timothy J. Asher
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Louisville, KY 40243
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CRD#: 4676056
TA
Professional summary
Timothy Joseph Asher is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Louisville, Kentucky.
Timothy is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Timothy 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 products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Planchoice, Inc./Yes/13257 Obannon Station Way, Louisville, Ky, 40223/Group Medical Benefits: Group Dental, Group Life, Group Vision, Group Short And Long Term Disability, Group Long Term Care Benefits, Group Accident, Group Critical Illness. Group Cance And Group Gap Plans./Agent/12.01.2016/2/0/They Will Act As A Wholesaler To Shop Plans My Clients May Be Interested In Providing Their Employees. Hardin Co. History Musume / Investment Related: No / 201 W Dixie Ave. Elizabethtown, Ky 42701 / Board Member - Meet Once A Month And Work Special Programs. Gold City Realty Property Management/Yes- Investment Related/Property Manager/5.1.2018/100 Drexler Cir., Elizabethtown, Ky 42701/Management Of Rental Properties/Reporting Any Damage Or Maintenance For Repair, Showing Apartments, Leasing Paperwork And Other Bookwork./Hours.Month: 20/Hours During Securities Trading Hours:4 Medlink/No/2001 Lake Point Way Louisville, Ky 40223/Independent Contractor/5/01/2004/ 0.1 Hrs Per Month/0 During Sec. Trading/Renew Health Insurance Policies/Approved With Restrictions Net Law Group / 0520-Present / Investment Related: No / 12910 Shelbyville Rd. Ste 124 Louisville, Ky 40243 / Agent / Estate Planning / Hrs Work Monthly: .5 / Sec Trading Hrs: 1 / Offering Self-Prepared Estate Planning Services Away From Any Securities Business.
CRS (Client Relationship Summary) - RIA
Click below to view Timothy Joseph Asher's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Timothy Joseph Asher'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 12910 Shelbyville Rd., Louisville, KY 40243RIA
BD
CRD#: 16164
Louisville, KY
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 12910 Shelbyville Rd., Louisville, KY 40243RIA
BD
CRD#: 16164
Louisville, KY
Past
June 13, 2007 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
LOUISVILLE, KY
Past
October 16, 2003 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DULUTH, GA
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
Kentucky(1/6/2012)
IAR
Kentucky(1/6/2012)
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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Louisville, KY 40243TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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