Charles R. Doughty

TRANSAMERICA RETIREMENT ADVISORS

Tucson, AZ

Some features on this profile are disabled

CRD#: 6067549

Professional summary

Charles R Doughty, who also goes by Charles R Doughty, Charles Doughty, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Tucson, Arizona and TRANSAMERICA INVESTORS SECURITIES, LLC located in Davenport,, Florida.

Charles is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Charles has worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6, Series 9, Series 10, Series 4 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Charles R Doughty | Charles Doughty

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 Charles R Doughty'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

April 30, 2026 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Tucson, AZ

Current

April 14, 2026 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

Davenport,, FL

Past

March 31, 2025 - March 12, 2026

STRATEGIC ADVISERS LLC

RIA

CRD#: 104555

SALT LAKE CITY, UT

Past

September 6, 2022 - March 31, 2025

FIDELITY PERSONAL AND WORKPLACE ADVISORS

RIA

CRD#: 288590

SALT LAKE CITY, UT

Past

April 21, 2021 - March 12, 2026

FIDELITY BROKERAGE SERVICES LLC

CRD#: 7784

SALT LAKE CITY, UT

Past

September 2, 2016 - February 18, 2021

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SALT LAKE CITY, UT

Past

March 17, 2016 - February 18, 2021

EQUITABLE ADVISORS, LLC

CRD#: 6627

SALT LAKE CITY, UT

Past

March 2, 2015 - March 9, 2016

KEY INVESTMENT SERVICES LLC

CRD#: 136300

BALDWINSVILLE, NY

Past

February 5, 2013 - January 5, 2015

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

CRD#: 2881

E SYRACUSE, 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".

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.

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

Alabama
(5/5/2026)

Arizona
(4/30/2026)

IAR

Arizona
(4/30/2026)

Arkansas
(5/6/2026)

California
(4/15/2026)

Colorado
(5/1/2026)

Connecticut
(5/4/2026)

Delaware
(5/1/2026)

District of Columbia
(5/4/2026)

Florida
(4/15/2026)

Georgia
(4/15/2026)

Hawaii
(5/1/2026)

Idaho
(4/14/2026)

Illinois
(5/7/2026)

Indiana
(5/1/2026)

Iowa
(5/5/2026)

Kansas
(4/30/2026)

Kentucky
(5/4/2026)

Louisiana
(4/30/2026)

Maine
(4/30/2026)

Massachusetts
(4/16/2026)

Michigan
(5/1/2026)

Minnesota
(4/30/2026)

Mississippi
(4/30/2026)

Missouri
(4/15/2026)

Montana
(5/7/2026)

Nebraska
(4/14/2026)

Nevada
(4/30/2026)

New Hampshire
(5/5/2026)

New Jersey
(5/1/2026)

New Mexico
(5/4/2026)

North Carolina
(5/1/2026)

North Dakota
(5/6/2026)

Ohio
(4/14/2026)

Oregon
(5/1/2026)

Pennsylvania
(4/22/2026)

Rhode Island
(4/15/2026)

South Carolina
(5/5/2026)

South Dakota
(5/1/2026)

Tennessee
(5/1/2026)

Texas
(4/14/2026)

Utah
(4/15/2026)

Vermont
(4/30/2026)

Virginia
(4/16/2026)

Washington
(5/5/2026)

West Virginia
(5/4/2026)

Wisconsin
(4/15/2026)

Wyoming
(5/1/2026)

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: 5/12/2016

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/26/2013

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 6/27/2016

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 2/4/2013

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 7/12/2022

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 4

Date: 8/20/2021

Registered Options Principal Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2019

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

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)

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

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	Cover Page	Report
10/25/2024	Cover Page	Report
07/25/2023	Cover Page	Report

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.

Similar Advisors

Guy Peel

OSAIC WEALTH, INC.

IAR

Helena, MT

Mark Brown

AUSDAL FINANCIAL PARTNERS, INC.

IAR

Estero, FL

Jeffrey Meotti

MORGAN STANLEY

IAR

MADISON, CT

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Charles R. Doughty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Charles R Doughty's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRANSAMERICA INVESTORS SECURITIES, LLC

STRATEGIC ADVISERS LLC

FIDELITY PERSONAL AND WORKPLACE ADVISORS

FIDELITY BROKERAGE SERVICES LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

KEY INVESTMENT SERVICES LLC

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 5/12/2016

Series 63

Date: 4/26/2013

SIE

Date: 10/1/2018

Series 7

Date: 6/27/2016

Series 6

Date: 2/4/2013

Series 9

Date: 1/2/2023

Series 10

Date: 7/12/2022

Series 4

Date: 8/20/2021

Series 24

Date: 9/27/2019

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

Similar Advisors