LK
Liliana Keth
Some features on this profile are disabled
CRD#: 5140668
LK
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Liliana Keth was a registered financial professional .
Liliana is a previously registered financial professional and started their career in finance in 2006. Liliana had worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
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. JAR Insurance Service / 0322-Present / Investment Related: No / 17215 Studebaker Rd, Ste 390 Cerritos, CA 90703 / Agent / Medicare Insurance Sales / Hrs. Work Monthly: 10 / Sec Trading Hrs: 5 / To sell Medicare Insurance LSPN Pro, LLC / 1012-Present / Investment Related: No /100 N. State Street, Ste B, Lindon, UT 84042 / Independent Rep / referring clients / Hrs. Work Monthly: 5 / Sec Trading Hrs.: 1 / Client communications, Marketing, and referring potential clients IHSS / 0521-Present / Investment Related: No /1741 Orick Way Plumas Lake, CA 95961 / Care giver for parents / In-home support service / Hrs Work Monthly: 100 / Sec Trading Hrs: 0 / Taking care of daily needs of aging parents Legacy Shield / 0221-Present/ Investment Related: No / 560 South 100 West, Suite 1 Provo, UT 84601 / Advisor / Estate planning / Hrs Work Monthly: / Sec Trading Hrs: / Assistance to clients to sign up for the Estate Planning. COVERED CA; NOT INVESTMENT RELATED; 2280 DIAMOND BLVD, STE 350, CONCORD CA 94520; HELPING INDIVIDUALS AND SMALL BUSINESSES TO APPLY FOR HEALTH INSURANCE THROUGH COVERED CA WEB-SITE; INDEPENDENT AGENT; 4/2014; 20 HRS/MONTH
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
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
Past
January 6, 2012 - November 6, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
ELK GROVE, CA
Past
January 6, 2012 - November 6, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
ELK GROVE, CA
Past
June 26, 2008 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
May 22, 2006 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
FAIRFIELD, 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.
Visual representation of state registrations
This advisor is not registered in any state.
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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.
