RM
Roger H. Madon
TRANSAMERICA FINANCIAL ADVISORS
Coral Gables, FL
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CRD#: 6045276
RM
Professional summary
Roger Herbert Madon, who also goes by Roger Madon, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Coral Gables, Florida.
Roger is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Roger has worked at 5 firms and has passed the Series 65, Series 63, Series 6TO, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Roger Madon
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. MADON MALIN, P.C. POSITION: Owner NATURE: Law firm INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 01/02/1995 ADDRESS: 50 Main St., Ste 1000, Suite 1000, White Plains NY 10606, United States DESCRIPTION: I currently represent three clients, as a labor lawyer, only. My duty is to represent one jointly administered one welfare fund and two jointly administered pension funds. I send approximately 10 hours per month.
CRS (Client Relationship Summary) - RIA
Click below to view Roger Herbert Madon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Roger Herbert Madon'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
February 14, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Coral Gables, FL
Current
December 5, 2023 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
BD
CRD#: 16164
Coral Gables, FL
Past
March 22, 2021 - November 7, 2022
EQUITABLE ADVISORS, LLC
BD
CRD#: 6627
BOCA RATON, FL
Past
May 22, 2020 - January 13, 2021
PFS INVESTMENTS INC.
BD
CRD#: 10111
CORAL SPRINGS, FL
Past
November 9, 2015 - May 15, 2017
OSAIC FA, INC.
BD
CRD#: 3978
MELVILLE, NY
Past
April 19, 2013 - October 30, 2013
HORNOR, TOWNSEND & KENT, LLC
BD
CRD#: 4031
NEW YORK, 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
Connecticut(5/15/2024)
RR
Florida(12/5/2023)
IAR
Florida(2/14/2024)
RR
Massachusetts(12/5/2023)
IAR
Massachusetts(6/18/2024)
RR
New York(12/5/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 5/22/2020
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.
