DC
Diego A. Conejo
TRANSAMERICA FINANCIAL ADVISORS
Torrance, CA 90501
Some features on this profile are disabled
CRD#: 5130746
DC
Professional summary
Diego Adrian Conejo, who also goes by Diego Adrian Canejo, Diego A Conejo, Diego Conejo, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Torrance, California.
Diego is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Diego has worked at 6 firms and has passed the Series 65, Series 63, Series 66, SIE, Series 6, Series 7 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Diego Adrian Canejo | Diego A Conejo | Diego Conejo
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. Angel City Candle Co/ 0721-Present / Investment Related: No /14642 S Denker Ave. Gardena, CA 90247/ Owner / Handmade Candle Business/ Hrs. Work Monthly: 10 / Sec Trading Hrs: 0 / Making scented candles of sale on amazon, eBay, Esty and other online marketplaces. Diego Adrian Conejo DBA West Coast Office Supply / 0321-Present / Investment Related: No / 14642 S Denker Ave. Gardena, CA 90247 /Owner / Used Book Sale Online / Hrs Work Monthly: 20 / Sec Trading Hrs: 1 / Occasionally sell used books online via amazon. I have a large collection of books and would like to start selling them together with some basic office supplies as an additional income. VICTRIX CAPITAL MANAGEMENT LLC/Investment Related - No/14642 S Denker Ave, Gardena, CA 90247/Bookkeeping services for retail shops on the Santa Monica Pier./Owner//Bookkeeping, monthly reconciliation of revenues and expenses. No tax preparation. DIEGO ADRIAN CONEJOPOSITION: P&C Insurance Agent NATURE: P&C Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 02/01/2022 ADDRESS: 2100 W Redondo Beach Blvd, Ste C413, Torrance CA 90504, United States DESCRIPTION: Daily activities include marketing worker's compensation, auto, homeowners, and business insurance policies. None of these are related to any investment activities. DIEGO ADRIAN CONEJO DBA CONEJO BENEFITS GROUP POSITION: Health Insurance Agent NATURE: Health Insurance Agent INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 12/01/2021 ADDRESS: 2100 W Redondo Beach Blvd, Ste C413, Torrance CA 90504, United States DESCRIPTION: Marketing health insurance plans to the general public. These include group and individual medical insurance programs including medical, dental, vision, cancer, hospital indemnity and other programs.
CRS (Client Relationship Summary) - RIA
Click below to view Diego Adrian Conejo's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diego Adrian Conejo'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
May 28, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Current
May 28, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21221 S Western Ave Suite 110, Torrance, CA 90501RIA
BD
CRD#: 16164
Torrance, CA
Past
September 14, 2017 - May 14, 2019
PFS INVESTMENTS INC.
RIA
CRD#: 10111
LOS ANGELES, CA
Past
April 6, 2017 - May 14, 2019
PFS INVESTMENTS INC.
BD
CRD#: 10111
LOS ANGELES, CA
Past
May 4, 2015 - March 15, 2016
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MARINA DEL REY, CA
Past
February 3, 2015 - April 20, 2015
J.P. MORGAN SECURITIES LLC
BD
CRD#: 79
MANHATTAN BEACH, CA
Past
April 4, 2014 - January 2, 2015
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
MARINA DEL REY, CA
Past
October 4, 2010 - November 29, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
SAN MARINO, CA
Past
October 4, 2010 - November 29, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
SAN MARINO, CA
Past
April 27, 2010 - July 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PACIFIC PALISADES, CA
Past
April 23, 2010 - July 29, 2010
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
PACIFIC PALISADES, CA
Past
July 14, 2008 - April 26, 2010
WELLS FARGO INVESTMENTS, LLC
RIA
CRD#: 10582
PACIFIC PALISADES, CA
Past
July 14, 2008 - April 26, 2010
WELLS FARGO INVESTMENTS, LLC
BD
CRD#: 10582
PACIFIC PALISADES, CA
Past
September 8, 2006 - October 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
RIA
CRD#: 16361
CITY OF COMMERCE, CA
Past
August 28, 2006 - October 19, 2007
BANC OF AMERICA INVESTMENT SERVICES, INC.
BD
CRD#: 16361
CITY OF COMMERCE, CA
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
Arizona(7/29/2021)
RR
California(5/28/2019)
IAR
California(5/28/2019)
RR
Connecticut(9/8/2023)
RR
Illinois(1/19/2023)
RR
Kansas(8/8/2019)
RR
Maine(10/26/2021)
RR
Maryland(7/15/2024)
RR
Michigan(12/13/2023)
RR
Missouri(5/28/2019)
RR
Nevada(1/24/2022)
RR
New Hampshire(10/25/2021)
RR
New Jersey(6/10/2020)
IAR
New Jersey(6/11/2020)
RR
New Mexico(2/7/2023)
RR
New York(8/23/2022)
RR
Ohio(5/28/2019)
RR
Texas(12/7/2020)
IAR
Texas(12/8/2020)
RR
Utah(8/23/2022)
Exams
State Security Law Exam
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
