BN
Benjamin E. Nolen
TRANSAMERICA RETIREMENT ADVISORS | Investment Solutions Representative III
Syracuse, UT
Some features on this profile are disabled
CRD#: 5986466
BN
Professional summary
Benjamin Edward Nolen, CFP®, who also goes by Benjamin Edward Nolen, Benjamin Nolen, Ben Nolen, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Syracuse, Utah and TRANSAMERICA INVESTORS SECURITIES, LLC located in Davenport,, Florida.
Benjamin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2012. Benjamin has worked at 6 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Biography
As an Investment Consultant, I will work with you to understand your goals and to partner with you to create an investment strategy and financial plan for your consideration in order to help you achieve them. I am a CERTIFIED FINANCIAL PLANNER™ certificant and I strive to inspire confidence in my clients by maintaining trust and providing sound guidance.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Benjamin Edward Nolen | Benjamin Nolen | Ben Nolen
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.
CRS (Client Relationship Summary) - RIA
Click below to view Benjamin Edward Nolen'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®
Education
University of Utah
Consumer and Community Studies - Financial Planning
2018
Experience
Current
November 13, 2023 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Syracuse, UT
Current
November 15, 2023 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
Davenport,, FL
Past
August 9, 2023 - August 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
Salt Lake City, UT
Past
August 9, 2023 - August 21, 2023
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
December 19, 2018 - February 10, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SALT LAKE CITY, UT
Past
December 12, 2018 - January 17, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
Past
October 19, 2016 - August 21, 2017
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
SALT LAKE CITY, UT
Past
April 17, 2012 - August 18, 2017
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SALT LAKE CITY, UT
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".
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.
CRD#: 107319 / SEC#: 801-42910
RIA
Registered Investment Advisory firm - (12/16/1992 Approved)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
Alabama(11/15/2023)
RR
Alaska(11/15/2023)
RR
Arizona(11/15/2023)
RR
Arkansas(11/15/2023)
RR
California(11/15/2023)
RR
Colorado(11/15/2023)
RR
Connecticut(11/15/2023)
RR
Delaware(11/15/2023)
RR
District of Columbia(11/15/2023)
RR
Florida(11/15/2023)
RR
Georgia(11/15/2023)
RR
Hawaii(11/15/2023)
RR
Idaho(11/15/2023)
RR
Illinois(11/15/2023)
RR
Indiana(11/15/2023)
RR
Iowa(11/15/2023)
RR
Kansas(11/15/2023)
RR
Kentucky(11/15/2023)
RR
Louisiana(11/15/2023)
RR
Maine(11/15/2023)
RR
Maryland(11/15/2023)
RR
Massachusetts(11/15/2023)
RR
Michigan(11/15/2023)
RR
Minnesota(11/15/2023)
RR
Mississippi(11/15/2023)
RR
Missouri(11/15/2023)
RR
Montana(11/15/2023)
RR
Nebraska(11/15/2023)
RR
Nevada(11/15/2023)
RR
New Hampshire(11/15/2023)
RR
New Jersey(11/15/2023)
RR
New Mexico(11/15/2023)
RR
New York(11/15/2023)
RR
North Carolina(11/15/2023)
RR
North Dakota(11/15/2023)
RR
Ohio(11/15/2023)
RR
Oklahoma(11/15/2023)
RR
Oregon(11/15/2023)
RR
Pennsylvania(11/15/2023)
RR
Puerto Rico(11/15/2023)
RR
Rhode Island(11/15/2023)
RR
South Carolina(11/15/2023)
RR
South Dakota(11/15/2023)
RR
Tennessee(11/15/2023)
RR
Texas(11/15/2023)
IAR
Utah(11/13/2023)
RR
Utah(11/15/2023)
RR
Vermont(11/15/2023)
RR
Virginia(11/15/2023)
RR
Washington(11/15/2023)
RR
West Virginia(11/15/2023)
RR
Wisconsin(11/15/2023)
RR
Wyoming(11/15/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TR
TRANSAMERICA RETIREMENT ADVISORS, LLC
DIVERSIFIED INVESTMENT ADVISORS INC | TRANSAMERICA RETIREMENT ADVISORS, LLC | TRANSAMERICA RETIREMENT ADVISORS, INC. | DIVERSIFIED RETIREMENT CORPORATION | DIVERSIFIED INVESTMENT ADVISORS, INC.
CRD#: 107319 / SEC#: 801-42910
RIA
Registered Investment Advisory firm - (12/16/1992 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
6400 C Street Sw, Cedar Rapids, IA 52499
Mailing Address
Phone number
(866) 368-0566
Established
Firm type
Fiscal year end
# of Employees
383
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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 RETIREMENT ADVISORS, LLC
Investment Solutions Representative IIICRD#: 107319Syracuse, UTTRUST BUT VERIFY
Monitor Benjamin Nolen
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
Contact information
(xxx) xxx-xxxx
