VG
Veena Gandhi
TRANSAMERICA FINANCIAL ADVISORS
Oakbrook Terrace, IL 60181
Some features on this profile are disabled
CRD#: 4743028
VG
Professional summary
Veena Gandhi, who also goes by Veena Gandhi, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oakbrook Terrace, Illinois.
Veena is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Veena has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Veena Gandhi
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 WSB is a co-brand that is used by agents affiliated with World Financial Group Insurance Agency, an insurance agency affiliate of Transamerica Financial Advisors, LLC. World System Builders | co-brand company | marketing | yes investment related | 10/25/2014 | 2099 Gold Street, Alviso CA 95002 Agent/EBRM Agency/Non-Investment Related/823 Commerce Drive, #350, Oak Brook, IL 60181/Getting quotes for health insurance/12/01/2017 LSPN PRO LLC POSITION: None NATURE: Providing bundled professional services with emphasis on estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 10 START DATE: 02/15/2024 ADDRESS: 100 N. STATE STREET, Ste B, LINDEN UT 84042, United States DESCRIPTION: Educating clients the importance of estate planning. INHERITGUARD, LLC POSITION: Agent NATURE: Providing Bundeled Professional services with the emphasis on Estate Planning. INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 10/01/2025 ADDRESS: 30 N Gould Street, suite 41954, Sheridan WY 82801, United States DESCRIPTION: Sharing with prospects the importance of estate planning. CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Veena Gandhi's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Veena Gandhi'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 13, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Current
October 9, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Past
April 18, 2008 - November 6, 2013
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
DOWNERS GROVE, IL
Past
February 20, 2004 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
DOWNERS GROVE, IL
Past
February 20, 2004 - November 6, 2013
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
DOWNERS GROVE, IL
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(10/5/2022)
RR
Florida(5/14/2025)
RR
Illinois(10/13/2015)
IAR
Illinois(10/13/2015)
RR
Maryland(7/24/2024)
RR
Pennsylvania(1/31/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
