Brent R. Stricklett

TRANSAMERICA FINANCIAL ADVISORS

ELKHORN, NE

Some features on this profile are disabled

CRD#: 4993654

Professional summary

Brent Roger Stricklett, who also goes by Brent Stricklett, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Elkhorn, Nebraska.

Brent is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Brent has worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, SIE, Series 3, Series 7, Series 53, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Brent Stricklett

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.

As employee of Transamerica Financial Advisors, may perform home office functions for other business units

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Roger Stricklett's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Brent Roger Stricklett's CRS (Customer Relationship Summary).

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®

None

Experience

Current

February 24, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

ELKHORN, NE

Current

February 24, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 6400 C St Sw, Cedar Rapids, IA 52499

RIA

CRD#: 16164

Cedar Rapids, IA

Past

June 14, 2024 - January 3, 2025

OSAIC WEALTH, INC.

RIA

CRD#: 23131

SCOTTSDALE, AZ

Past

June 14, 2024 - January 3, 2025

OSAIC WEALTH, INC.

CRD#: 23131

SCOTTSDALE, AZ

Past

February 5, 2019 - December 12, 2019

LADENBURG THALMANN & CO. INC.

CRD#: 505

BOCA RATON, FL

Past

May 17, 2018 - June 14, 2024

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

La Vista, NE

Past

April 27, 2018 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

Omaha, NE

Past

January 28, 2015 - May 11, 2018

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

RIA

CRD#: 611

OMAHA, NE

Past

January 27, 2015 - May 11, 2018

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

CRD#: 611

OMAHA, NE

Past

January 11, 2008 - January 14, 2015

SECURITIES AMERICA ADVISORS, INC.

RIA

CRD#: 110518

LA VISTA, NE

Past

February 8, 2007 - January 14, 2015

SECURITIES AMERICA, INC.

CRD#: 10205

LAVISTA, NE

Past

December 16, 2005 - December 19, 2006

J.P. TURNER & COMPANY, L.L.C.

CRD#: 43177

OMAHA, NE

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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

Iowa
(2/24/2025)

IAR

Iowa
(2/25/2025)

Nebraska
(2/24/2025)

IAR

Nebraska
(2/24/2025)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 1/2/2008

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/22/2006

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 3

Date: 8/12/2010

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 12/15/2005

General Securities Representative Examination

Principal/Supervisory Exam

Series 53

Date: 4/11/2008

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 2/13/2008

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 11/27/2007

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Brent R. Stricklett

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brent Roger Stricklett's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Brent Roger Stricklett's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

OSAIC WEALTH, INC.

OSAIC WEALTH, INC.

LADENBURG THALMANN & CO. INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

MUTUAL OF OMAHA INVESTOR SERVICES, INC.

SECURITIES AMERICA ADVISORS, INC.

SECURITIES AMERICA, INC.

J.P. TURNER & COMPANY, L.L.C.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 1/2/2008

Series 63

Date: 5/22/2006

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 3

Date: 8/12/2010

Series 7

Date: 12/15/2005

Series 53

Date: 4/11/2008

Series 4

Date: 2/13/2008

Series 24

Date: 11/27/2007

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors