AM
Adam D. Moskowitz
TRANSAMERICA FINANCIAL ADVISORS
STOCKTON, CA 95207
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CRD#: 4758463
AM
Professional summary
Adam David Moskowitz is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Stockton, California.
Adam is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Adam has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 7 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. Power PBC / 0422-Present / Investment Related: No / 2683 Via La Valle, Suite 321G, Del Mar, CA 92014 / Referral Agent / Solar Power / Hrs. Work Monthly: 0 / Sec Trading Hrs: 0 / Referrals only The Loudest Wavemakers, Inc. / 1021-Present / Investment Related: No / 510 W Locust Street #2, Lodi, CA 95240 / Owner-President-CEO / Pass thru account / Hrs. Work Monthly: 0 / Sec Trading Hrs: 0/ Nothing DYNAMIC EXPANSION INC, INVESTMENT RELATED, 2629 FOOTHILL BLVD, #212, LA CRESCENTA, CA 91214, REGISTERED REPRESENTATIVE/INVESTMENT ADVISOR REPRESENTATIVE WITH TRANSAMERICA FINANCIAL ADVISORS INC, CUSTOMER SERVICE, START 8/2013, 40 HRS/MO, CONTACT AND SERVICE MICHAEL COLEMAN'S CURRENT CLIENTS MAKOM OHR SHALOM/NO/MAKOM OHR SHALOM, PO BOX 5086, WEST HILLS, CA, 91308/WORSHIP/TREASURER/10.03.2014/15/1/NO DAILY ACTIVITIES, MONTHLY INCLUDES BUDGET AND BOOKS. SILVER LAKE CHAMBER OF COMMERCE / INVESTMENT RELATED: NO / 4470 SUNSET BLVD #309, LOS ANGELES, CA 90027 / TREASURER, MAINTAIN BOOKS AND ACCOUNTS FOR CHAMBER / HOURS PER MONTH: 5 / HOURS DURING SECURITIES TRADING HOURS: 0 / APPROVED WITH RESTRICTIONS LSPN PRO, LLC POSITION: Independent Representative NATURE: Bundled Professional Services including Estate Planning Services INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2022 ADDRESS: 100 N State Street, Ste B, Lindon UT 84042, United States DESCRIPTION: Client communications, marketing and referring potential clients BNI - BUSINESS NETWORKING INTERNATIONAL POSITION: Life Insurance Seat NATURE: Networking Group INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 11/01/2021 ADDRESS: 17853 Santiago Blvd., Suite 107-507, Villa Park CA 92861, United States DESCRIPTION: Talk about, educate and sell Fixed Life insurance products. KIWANIS CLUB OF STOCKTON POSITION: President NATURE: Service to the community INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 06/15/2021 ADDRESS: 2027 Grand Canal Blvd, Suite 26, Stockton CA 95207, United States DESCRIPTION: Running of meeting's other president duties such as representing the club at events. CHAMPION HEALTH, INC. POSITION: Agent NATURE: Health Insurance Supplement INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 01/01/2024 ADDRESS: 7272 E. Indian School Rd., #540, Scottsdale AZ 85251, United States DESCRIPTION: Contacting employers regarding the employer/employee of the benefits the Champ Plan offers. (Seewww.champplan.com website) benefits are too numerous to list. One of the benefits to the employee is having accessto a Tele-Doc. Champ Plan is designed to increase the overall health of the employee, therefore, reducing the of urgentcare visits and hospital admissions. INHERIT GUARD NETWORK \ POSITION: Independent Representative NATURE: Bundled Professional Services including Estate Planning Services INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/07/2022 ADDRESS: 30 N Gould St, Ste R, Sheridan WY 82801, United States \ DESCRIPTION: Client communications, marketing and referring potential clients
CRS (Client Relationship Summary) - RIA
Click below to view Adam David Moskowitz's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Adam David Moskowitz'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 27, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2027 Grand Canal Blvd. #24, Stockton, CA 95207RIA
BD
CRD#: 16164
STOCKTON, CA
Current
March 12, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2027 Grand Canal Blvd. #24, Stockton, CA 95207RIA
BD
CRD#: 16164
STOCKTON, CA
Past
April 22, 2008 - November 4, 2008
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
GLENDALE, CA
Past
October 31, 2005 - February 29, 2008
OSAIC SERVICES, INC.
BD
CRD#: 133763
VALENCIA, CA
Past
March 1, 2004 - October 31, 2005
SUNAMERICA SECURITIES, INC.
BD
CRD#: 20068
PHOENIX, AZ
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(3/12/2012)
IAR
California(1/27/2017)
RR
Florida(6/15/2021)
RR
Hawaii(4/16/2024)
RR
Kansas(5/18/2023)
RR
Maryland(10/17/2015)
RR
Nevada(4/10/2023)
RR
Pennsylvania(5/30/2018)
RR
South Carolina(2/7/2023)
RR
Texas(6/26/2020)
IAR
Texas(6/26/2020)
RR
Washington(3/2/2018)
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Stockton, CA 95207TRUST BUT VERIFY
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