Nicole K. Clark

TRANSAMERICA FINANCIAL ADVISORS

Emmetsburg, IA

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CRD#: 5121074

Professional summary

Nicole Koren Clark, who also goes by Nicole Clark Blumenthal, Nicole K Clark, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Emmetsburg, Iowa.

Nicole is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Nicole has worked at 10 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Nicole Clark Blumenthal | Nicole K Clark

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 Nicole Koren Clark's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Nicole Koren Clark'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

March 10, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

Emmetsburg, IA

Current

March 10, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

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

RIA

CRD#: 16164

Cedar Rapids, IA

Past

December 12, 2022 - May 7, 2024

U.S. BANCORP INVESTMENTS, INC.

RIA

CRD#: 17868

Spencer, IA

Past

December 9, 2022 - May 7, 2024

U.S. BANCORP INVESTMENTS, INC.

CRD#: 17868

Spencer, IA

Past

August 26, 2016 - August 5, 2022

TRUIST ADVISORY SERVICES, INC.

RIA

CRD#: 283390

PALM BAY, FL

Past

August 20, 2014 - December 31, 2016

TRUIST INVESTMENT SERVICES, INC.

RIA

CRD#: 17499

PALM BAY, FL

Past

August 13, 2014 - August 5, 2022

TRUIST INVESTMENT SERVICES, INC.

CRD#: 17499

PALM BAY, FL

Past

January 26, 2012 - July 9, 2012

LPL FINANCIAL LLC

CRD#: 6413

COCOA BEACH, FL

Past

March 18, 2010 - November 14, 2011

MERRIMAC CORPORATE SECURITIES, INC.

CRD#: 35463

MELBOURNE, FL

Past

November 26, 2008 - November 25, 2009

WORLD EQUITY GROUP, INC.

CRD#: 29087

MELBOURNE, FL

Past

January 1, 2008 - December 12, 2008

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

MERRITT ISLAND, FL

Past

September 6, 2007 - January 3, 2008

A. G. EDWARDS & SONS, INC.

CRD#: 4

MERRITT ISLAND, FL

Past

December 5, 2006 - April 27, 2007

J.W. COLE FINANCIAL, INC.

CRD#: 124583

TAMPA, FL

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

IAR

Iowa
(3/10/2025)

Iowa
(3/11/2025)

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 66

Date: 8/18/2014

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 12/4/2006

General Securities Representative 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)

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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

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.

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Advisor Monitoring

Firm Stability Insights

Nicole K. Clark

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Nicole Koren Clark's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Nicole Koren Clark's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

U.S. BANCORP INVESTMENTS, INC.

U.S. BANCORP INVESTMENTS, INC.

TRUIST ADVISORY SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

TRUIST INVESTMENT SERVICES, INC.

LPL FINANCIAL LLC

MERRIMAC CORPORATE SECURITIES, INC.

WORLD EQUITY GROUP, INC.

WELLS FARGO CLEARING SERVICES, LLC

A. G. EDWARDS & SONS, INC.

J.W. COLE FINANCIAL, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 8/18/2014

SIE

Date: 10/1/2018

Series 7

Date: 12/4/2006

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

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