David A. Nowicki

Some features on this profile are disabled

CRD#: 5453702

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.

David Allan Nowicki, who also goes by Dave Nowicki, was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 2008. David had worked at 6 firms and has passed the Series 66, Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Dave Nowicki

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.

The advisor shows no other business activity.

Blog Corner

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®

None

Experience

Past

January 15, 2013 - June 11, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

MADISON, WI

Past

January 15, 2013 - June 11, 2013

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164

MADISON, WI

Past

March 5, 2012 - December 11, 2012

PFS INVESTMENTS INC.

RIA

CRD#: 10111

SHEBOYGAN, WI

Past

February 13, 2012 - December 11, 2012

PFS INVESTMENTS INC.

CRD#: 10111

SHEBOYGAN, WI

Past

November 10, 2010 - May 12, 2011

SII INVESTMENTS, INC.

RIA

CRD#: 2225

FRANKLIN, WI

Past

November 10, 2010 - May 12, 2011

SII INVESTMENTS, INC.

CRD#: 2225

FRANKLIN, WI

Past

January 28, 2010 - November 11, 2010

INVESTMENT ADVISORS INTERNATIONAL, INC.

RIA

CRD#: 139233

NORTHBROOK, IL

Past

October 13, 2009 - November 11, 2010

WORLD GROUP SECURITIES, INC.

CRD#: 114473

NORTHBROOK, IL

Past

July 25, 2008 - February 24, 2009

REGAL SECURITIES, INC.

CRD#: 7297

MILWAUKEE, WI

Past

May 22, 2008 - July 11, 2008

WORLD GROUP SECURITIES, INC.

CRD#: 114473

DULUTH, GA

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.

Visual representation of state registrations

This advisor is not registered in any state.

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.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/23/2009

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 9/24/2008

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 5/20/2008

General Securities Representative Examination

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

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

David A. Nowicki

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

PFS INVESTMENTS INC.

PFS INVESTMENTS INC.

SII INVESTMENTS, INC.

SII INVESTMENTS, INC.

INVESTMENT ADVISORS INTERNATIONAL, INC.

WORLD GROUP SECURITIES, INC.

REGAL SECURITIES, INC.

WORLD GROUP SECURITIES, INC.

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/23/2009

Series 63

Date: 9/24/2008

Series 7

Date: 5/20/2008

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