JS
John P. Schweitzer
TRANSAMERICA FINANCIAL ADVISORS
CONCORD, CA 94520
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CRD#: 5495160
JS
Professional summary
John Phillip Schweitzer, who also goes by John Philip Schweitzer, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Concord, California.
John is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. John has worked at 2 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
John Philip Schweitzer
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. HEARTLAND INSTITUTE OF FINANCIAL EDUCATION | 09/2012 | INSTRUCTOR | GRENWOOD VILLAGE, CO | NOT INVESTMENT RELATED Delicatio Family Wines / 0322-Present / Investment Related: No / 300 Via Archimedes, Geyserville, CA 95441 / Tasting Room Attendant / Wine Production and Sales / Hrs. Work Monthly: 80 / Sec Trading Hrs: 4 / Service wine, talk about wine, restock wine, clean up after wine. Avenue, Suite 312 Greenwood Village, CO 80111 / College Consultant / College Coaching Program/ Hrs Work Monthly: 4 / Sec Trading Hrs: 0 /College Coaching program; presenting to individuals and groups the HIFE College Coaching program by PowerPoint or brochure. Enrolling students in the programs; to act as backup or secondary liaison to families per the HIFFE staff and coach instructions. HEARTLAND INSTITUTE OF FINANCIAL EDUCATION - COLLEGE PLANNING PROGRAM; NOT INVESTMENT RELATED; 8301 EAST PRENTICE AVE, STE 312, GREENWOOD VILLAGE CO 80111; PRESENTING TO INDIVIDUALS AS WELL AS GROUPS THE HIFE COLLEGE PLANNING PROGRAM BY POWERPOINT OR BROCHURE. ENROLLING STUDENTS IN THE COLLEGE PLANNING PROGRAM; COLLEGE PLANNING CONSULTANT; 9/2014; TO PRESENT TO FAMILIES AND ENROLL STUDENTS IN THE PROGRAM. TO ACT AS BACKUP OR SECONDARY LIAISON TO FAMILIES AS PER THE HIFE STAFF AND COACH INSTRUCTIONS. TRANSAMERICA EMPLOYEE BENEFITS POSITION: Agent NATURE: Employee Benefit Sales INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 03/10/2023 ADDRESS: 1470 Civic Ct., Suite 312, Concord CA 94520, United States DESCRIPTION: Independent contractor. Prospect and contact businesses and owners about employee benefit plans. Sell, implement, and service the customer plans. LSPN PRO, LLC POSITION: Independent Representative NATURE: Bundled Professional Services including Estate Planning Services INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 03/17/2023 ADDRESS: 100 N State Street, Ste B, Lindon UT 84042, United States DESCRIPTION: Client communications, marketing and referring potential clients JOHN SCHWEITZER POSITION: Independent Contractor NATURE: Beverage industry production INVESTMENT RELATED: No NUMBER OF HOURS: 16 SECURITIES TRADING HOURS: 0 START DATE: 04/14/2023 ADDRESS: 4687 Fairway Dr., Rohnert Park CA 94928, United States DESCRIPTION: Work as a laborer or hospitality provider in agribusiness/beverage industry, specifically wine makers, distillers, and brewers, and industry events. Daily activities may include serving beverages, bottling, stock, assisting technicians in production, preparation and disassembling of events.
CRS (Client Relationship Summary) - RIA
Click below to view John Phillip Schweitzer's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view John Phillip Schweitzer'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
February 10, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2280 Diamond Blvd. Suite 350, Concord, CA 94520RIA
BD
CRD#: 16164
CONCORD, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2280 Diamond Blvd. Suite 350, Concord, CA 94520RIA
BD
CRD#: 16164
CONCORD, CA
Past
June 23, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
RANCHO CUCAMONGA, 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(5/21/2012)
RR
California(1/6/2012)
IAR
California(2/10/2017)
RR
Colorado(12/10/2021)
RR
Nevada(1/6/2012)
RR
New Mexico(2/1/2017)
RR
Texas(2/2/2017)
IAR
Texas(2/16/2023)
RR
Washington(1/11/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Concord, CA 94520TRUST BUT VERIFY
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