Andrew T. Pudenz

TRANSAMERICA FINANCIAL ADVISORS

WAUKEE, IA

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CRD#: 5994552

Professional summary

Andrew T Pudenz, who also goes by Andrew Thomas Pudenz, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waukee, Iowa.

Andrew is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2011. Andrew has worked at 6 firms and has passed the Series 66, SIE, Series 7, Series 6 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Andrew Thomas Pudenz

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 Andrew T Pudenz's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Andrew T Pudenz'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

June 30, 2023 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA

CRD#: 16164

WAUKEE, IA

Current

June 29, 2023 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

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

RIA

CRD#: 16164

Cedar Rapids, IA

Past

November 9, 2021 - June 26, 2023

MORGAN STANLEY

RIA

CRD#: 149777

West Des Moines, IA

Past

November 9, 2021 - June 26, 2023

MORGAN STANLEY

CRD#: 149777

West Des Moines, IA

Past

July 5, 2018 - November 10, 2021

VOYA FINANCIAL ADVISORS, INC.

RIA

CRD#: 2882

West Des Moines, IA

Past

June 25, 2018 - November 10, 2021

VOYA FINANCIAL ADVISORS, INC.

CRD#: 2882

Windsor, CT

Past

March 6, 2017 - June 18, 2018

INTEGRITY ALLIANCE, LLC.

RIA

CRD#: 139627

URBANDALE, IA

Past

March 6, 2017 - June 18, 2018

INTEGRITY ALLIANCE, LLC.

CRD#: 139627

URBANDALE, IA

Past

January 4, 2013 - March 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

WEST DES MOINES, IA

Past

April 20, 2012 - March 6, 2017

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

WEST DES MOINES, IA

Past

November 8, 2011 - April 12, 2012

DIRECTED SERVICES LLC

CRD#: 21675

DES MOINES, IA

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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

Iowa
(6/30/2023)

IAR

Iowa
(6/30/2023)

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 66

Date: 1/3/2013

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/12/2012

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 11/7/2011

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/25/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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Advisor Monitoring

Firm Stability Insights

Andrew T. Pudenz

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Andrew T Pudenz's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Andrew T Pudenz's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

MORGAN STANLEY

MORGAN STANLEY

VOYA FINANCIAL ADVISORS, INC.

VOYA FINANCIAL ADVISORS, INC.

INTEGRITY ALLIANCE, LLC.

INTEGRITY ALLIANCE, LLC.

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

DIRECTED SERVICES LLC

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 1/3/2013

SIE

Date: 10/1/2018

Series 7

Date: 7/12/2012

Series 6

Date: 11/7/2011

Series 24

Date: 10/25/2019

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

Contact information

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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