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AS

Albert C. Smith

TRANSAMERICA FINANCIAL ADVISORS
Hoffman Estates, IL 60192
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CRD#: 5860868
AS
Albert C SmithTRANSAMERICA FINANCIAL ADVISORS

Professional summary

Albert C Smith, who also goes by Albert Charles Smith, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Hoffman Estates, Illinois.

Albert is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Albert has worked at 2 firms and has passed the Series 65, Series 63, Series 6TO, SIE, Series 6 and Series 26 exams.

Aliases

Albert Charles Smith

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) - RIA

Click below to view Albert C Smith's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Albert C Smith'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®
None

Experience

Current

July 17, 2026 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 2000 Center Dr, Suite East C209, Hoffman Estates, IL 60192
RIA
BD
CRD#: 16164
Hoffman Estates, IL
Current

July 16, 2026 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 2000 Center Dr, Suite East C209, Hoffman Estates, IL 60192
RIA
BD
CRD#: 16164
Hoffman Estates, IL
Past

March 16, 2022 - December 31, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
Downers Grove, IL
Past

March 16, 2022 - December 31, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
Downers Grove, IL
Past

May 29, 2013 - March 27, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
CHICAGO, IL
Past

January 6, 2012 - March 27, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
CHICAGO, IL
Past

February 10, 2011 - January 6, 2012

WORLD GROUP SECURITIES, INC.

BD
CRD#: 114473
OAK BROOK, IL

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
Illinois
(7/16/2026)
IAR
Illinois
(7/17/2026)

Exams

State Security Law Exam
IAR
Series 65
Date: 3/10/2012
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 12/1/2010
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/13/2022
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 6
Date: 2/9/2011
Investment Company Products/Variable Contracts Representative Examination
Principal/Supervisory Exam
RR
Series 26
Date: 3/13/2022
Investment Company Products/Variable Contracts 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

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

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#: 16164Hoffman Estates, IL 60192

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