ND
Nathaniel J. Dickson
TRANSAMERICA FINANCIAL ADVISORS
Centennial, CO 80112
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CRD#: 5813586
ND
Professional summary
Nathaniel James Dickson, who also goes by Nate Dickson, Nathaniel Dickson, Nate Dickson, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Centennial, Colorado.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Nathaniel has worked at 2 firms and has passed the Series 65, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Nate Dickson | Nathaniel Dickson | Nate Dickson
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. PROFESSIONAL MORTGAGE SOURCE LLC (1)/Investment Related - No/6021 S Syracuse Way #305 Greenwood Village, Colorado 80111/MORTGAGE BUSINESS/MORTGAGE BROKER/04.2005/80/40/ORIGINATE MORTGAGE LOANS PROFESSIONAL MORTGAGE SOURCE LLC/Investment Related - No/6021 S Syracuse Way #305 Greenwood Village, Colorado 80111/MORTGAGE BUSINESS/MORTGAGE SPECIALIST/04.2005/80/40/ORIGINATE MORTGAGE LOANS
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel James Dickson's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel James Dickson'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
September 2, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9200 E. Mineral Avenue Penthouse Suite 400, Centennial, CO 80112RIA
BD
CRD#: 16164
Centennial, CO
Current
November 16, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9200 E. Mineral Avenue Penthouse Suite 400, Centennial, CO 80112RIA
BD
CRD#: 16164
Centennial, CO
Past
January 23, 2017 - July 26, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
March 17, 2014 - October 11, 2016
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
GREENWOOD VILLAGE, CO
Past
June 30, 2010 - July 21, 2011
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
Colorado(11/16/2021)
IAR
Colorado(9/2/2025)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/15/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
