AA
Anna J. Alexander
TRANSAMERICA FINANCIAL ADVISORS
Kirtland, OH 44094
Some features on this profile are disabled
CRD#: 4803355
AA
Professional summary
Anna Jean Alexander, who also goes by Anna Alexander, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Kirtland, Ohio.
Anna is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Anna has worked at 3 firms and has passed the Series 63, Series 65, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Anna Alexander
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. Pinnacle Financial Services / 0122-Present / Investment Related: No / 65 West Street Road. Suite A-101, Warminster, PA 18974 / General Agent / Medicare Insurance / Hrs. Work Monthly: 80 / Sec Trading Hrs: 4 / Consult regarding Medicare plans. Assist with completion of application. Net Law Inc. / 0219-Present / INVESTMENT RELATED: NO /12910 Shelbyville Rd. Suite 124 Louisville, KY 40243 /referral representation / Legal Documents; wills, power of attorney-finance/health, trust / hrs work monthly: 1 / Sec trading hrs: 0 / I will not have daily activities. I will only refer clients who have a need for the legal services NetLaw Inc. provides. United Health care Medicare Solutions, United Healthcare Insurance Company/ Minneapolis, MN / Independent Contractor / This Company provides Medicare Supplemental Insurance and Prescription Drug Insurance for individuals eligible for Medicare. /This is a result of a transition from being an independent contracted agent with UnitedHealthCare to my current status as an external distribution contract. I will continue to receive commission trails, however, not an active selling agent./Hrs Work Monthly: 0 / Sec Trading Hrs: 0 / approved with restrictions College Loan Freedom; no; 129 W Lake Mead Pkwy #19 Henderson, NV 89015; 04/15/2020; Student Loan assistance; referral; 20 hrs/month; 1 during sec. trading, I would be a referral source for the College Loan Freedom service. I would not have daily activities or responsibilities. Referrals would be made as identified with clients needs; approved with restrictions UnitedHealthcare Insurance Company/No/Minneapolis MN 55440 /Medicare Insurance 2/24/22 CHAMPION HEALTH POSITION: Independent Sales Representative NATURE: Health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 1 START DATE: 09/01/2023 ADDRESS: 7272 E. Indian School Road, #540, Scottsdale AZ 85251, United States DESCRIPTION: Introduce companies to an overlapping preventative health insurance for employees. GEOBLUE TRAVEL INSURANCE POSITION: Independent Contractor NATURE: Travel health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 02/05/2024 ADDRESS: 933 First Avenue, King of Prussia OH 44481, United States DESCRIPTION: No daily duties. This will be an as needed/requested basis for individuals who will be traveling out of the country. I will provide product information, quotes and complete applications.
CRS (Client Relationship Summary) - RIA
Click below to view Anna Jean Alexander's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Anna Jean Alexander'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: 9328 Chillicothe Rd., Kirtland, OH 44094RIA
BD
CRD#: 16164
Kirtland, OH
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9328 Chillicothe Rd., Kirtland, OH 44094RIA
BD
CRD#: 16164
Kirtland, OH
Past
October 31, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
WILLOUGHBY HILLS, OH
Past
November 26, 2004 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
WILLOUGHBY HILLS, 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
Florida(7/16/2020)
RR
Ohio(1/6/2012)
IAR
Ohio(1/6/2012)
RR
Pennsylvania(8/6/2019)
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)
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.
