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Amber R. Paulsen

TRANSAMERICA FINANCIAL ADVISORS

Cedar Rapids, IA 52499

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CRD#: 5838666

Professional summary

Amber Rae Paulsen, ChFC® is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cedar Rapids, Iowa.

Amber is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Amber has worked at 12 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 51 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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.

As employee of Transamerica Financial Advisors, may perform home office functions for other business units

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Amber Rae Paulsen's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Amber Rae Paulsen's CRS (Customer Relationship Summary).

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®

ChFC^®

Chartered Financial Consultant

Experience

Current

April 23, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 6400 C St Sw, Cedar Rapids, IA 52499

RIA

BD

CRD#: 16164

Cedar Rapids, IA

Current

April 22, 2025 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 6400 C St Sw, Cedar Rapids, IA 52499

RIA

BD

CRD#: 16164

Cedar Rapids, IA

Past

February 7, 2024 - April 25, 2025

CADARET, GRANT & CO., INC.

RIA

CRD#: 10641

SYRACUSE, NY

Past

February 7, 2024 - April 25, 2025

WESTERN INTERNATIONAL SECURITIES, INC.

BD

CRD#: 39262

PASADENA, CA

Past

February 7, 2024 - April 25, 2025

SORRENTO PACIFIC FINANCIAL, LLC

BD

CRD#: 127787

SAN DIEGO, CA

Past

February 7, 2024 - April 25, 2025

SCF SECURITIES, INC.

BD

CRD#: 47275

SAN DIEGO, CA

Past

February 7, 2024 - April 25, 2025

NEXT FINANCIAL GROUP, INC.

BD

CRD#: 46214

HOUSTON, TX

Past

February 7, 2024 - April 25, 2025

GROVE POINT INVESTMENTS, LLC

BD

CRD#: 1763

ROCKVILLE, MD

Past

February 7, 2024 - April 25, 2025

CUSO FINANCIAL SERVICES, L.P.

BD

CRD#: 42132

SAN DIEGO, CA

Past

February 7, 2024 - April 25, 2025

CADARET, GRANT & CO., INC.

BD

CRD#: 10641

SYRACUSE, NY

Past

October 20, 2021 - April 14, 2023

RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC

RIA

CRD#: 149018

Fairport, NY

Past

October 20, 2021 - April 14, 2023

RAYMOND JAMES FINANCIAL SERVICES, INC.

BD

CRD#: 6694

Fairport, NY

Past

March 26, 2021 - September 16, 2021

KEY INVESTMENT SERVICES LLC

RIA

CRD#: 136300

BROOKLYN, OH

Past

September 12, 2012 - September 16, 2021

KEY INVESTMENT SERVICES LLC

BD

CRD#: 136300

BROOKLYN, OH

Past

June 15, 2012 - September 11, 2012

CITIZENS SECURITIES, INC.

RIA

CRD#: 39550

ROCHESTER, NY

Past

May 17, 2011 - September 11, 2012

CITIZENS SECURITIES, INC.

BD

CRD#: 39550

ROCHESTER, NY

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

Iowa
(4/23/2025)

IAR

Iowa
(4/23/2025)

RR

New York
(4/23/2025)

IAR

New York
(4/23/2025)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 65

Date: 6/14/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

RR

Series 63

Date: 6/27/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

RR

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

RR

Series 7

Date: 4/24/2012

General Securities Representative Examination

General Industry/Product Exam

RR

Series 6

Date: 5/16/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

RR

Series 51

Date: 10/29/2025

Municipal Fund Securities Principal Examination

Principal/Supervisory Exam

RR

Series 24

Date: 12/17/2012

General Securities Principal Examination

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

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.

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164Cedar Rapids, IA 52499

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