PA
Patricia L. Ardern
TRANSAMERICA FINANCIAL ADVISORS
Stillwater, OK 74074
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CRD#: 5534131
PA
Professional summary
Patricia L Ardern, who also goes by Patricia L Boyce, Patricia L Crenshaw, Patricia L James, Tricia L Layman, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Stillwater, Oklahoma.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2008. Patricia has 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"?
Yes
Aliases
Patricia L Boyce | Patricia L Crenshaw | Patricia L James | Tricia L Layman
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." Rev.com/ 1017-Present/ investment-related: No / 251 Kearny St. 8th Floor San Francisco, CA 94108/ Freelance transcriber/ Customers submit audio files to Rev. Freelance transcribers convert the files to written copy which it returned to the customer./ Hrs Work Monthly: 40 / Sec Trading Hrs: 2 / Transcription of audio files. No required time commitment. STILLWATER FRONTIER ROTARY CLUB, NOT INVESTMENT-RELATED, 315 N. HUSBAND ST, STILLWATER, CO 74075, THE STILLWATER FRONTIER ROTARY CLUB HAS FORMED A FOUNDATION. THE NEW BOARD HAS BEEN APPOINTED AND WILL START SERVING FOR THE CLUB YEAR BEGINNING JULY 1, 2013, BOARD MEMBER, 7/1/2013, 8 HRS/MONTH, SERVE ON THE BOARD TO DEVELOP POLICIES AND PROCEDURES OF THE FOUNDATION.
CRS (Client Relationship Summary) - RIA
Click below to view Patricia L Ardern's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia L Ardern'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 901 S. Main Street Suite 7, Stillwater, OK 74074RIA
BD
CRD#: 16164
Stillwater, OK
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 901 S. Main Street Suite 7, Stillwater, OK 74074RIA
BD
CRD#: 16164
Stillwater, OK
Past
February 17, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
GREENWOOD VILLAGE, CO
Past
June 2, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
GREENWOOD VILLAGE, CO
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
Kansas(5/31/2023)
RR
Louisiana(4/25/2025)
RR
Minnesota(6/8/2023)
RR
Oklahoma(1/6/2012)
IAR
Oklahoma(1/6/2012)
RR
Texas(12/3/2015)
IAR
Texas(12/7/2015)
Exams
State Security Law Exam
State Security Law 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.
