LR
Lee A. Rosenblum
TRANSAMERICA FINANCIAL ADVISORS
Gold River, CA 95670
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CRD#: 6160585
LR
Professional summary
Lee Alan Rosenblum is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Gold River, California.
Lee is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2013. Lee has worked at 1 firm and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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. CHAMPION HEALTH, INC. POSITION: agent NATURE: Health Insurance Supplement INVESTMENT RELATED: No NUMBER OF HOURS: 8 SECURITIES TRADING HOURS: 0 START DATE: 07/12/2023 ADDRESS: 7272 E. Indian School Rd., #540, Scottsdale AZ 85251, United States DESCRIPTION: Contacting employers regarding the employer/employee of the benefits the Champ Plan offers. (Seewww.champplan.com website) benefits are too numerous to list. One of the benefits to the employee is having accessto a Tele-Doc. Champ Plan is designed to increase the overall health of the employee, therefore, reducing the use ofurgent care visits and hospital admissions. WEALTHWAVE POSITION: null NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 12/22/2023 ADDRESS: 3030 Royal Blvd, Alpharetta GA 30022, United States DESCRIPTION: WFG Co-Brand INHERITGUARD, LLC \ POSITION: NA NATURE: Providing bundled professional services with emphasis on estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 06/12/2024 ADDRESS: 30 Gould Street, Ste 41954, Sheridan WY 82801, \ DESCRIPTION: client communications, follow up with client issues, provide education on estate planning issues, schedule appointments ASSOCIATION OF FINANCIAL EDUCATORS POSITION: volunteer NATURE: I give financial education workshops that they send me to. AFE reaches out to companies (for profit and not-for-profit) asking them if they would like to offer financial education workshops for their employees. INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 05/01/2024 ADDRESS: 108 Wild Basin Road S, Suite 250, Austin TX 78746, United States DESCRIPTION: I speak with a representative of the organization and explain that I am a volunteer for AFE. I tell them the kind of workshops that are available and I explain the minimal amount of work required on their part. DREAMSCORE LLC POSITION: referral agent NATURE: R&D Tax Credits INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 1 START DATE: 07/15/2025 ADDRESS: 701 Palomar Rd., #300, Carlsbad CA 92011, United States DESCRIPTION: I ask business owners if they have received their state and/or federal R&D tax credit. If the have not or are interested, I refer them to an accountant or an attorney to help them through the process
CRS (Client Relationship Summary) - RIA
Click below to view Lee Alan Rosenblum's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Lee Alan Rosenblum'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
April 12, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11344 Coloma Rd Suite 240, Gold River, CA 95670RIA
BD
CRD#: 16164
Gold River, CA
Current
February 21, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 11344 Coloma Rd Suite 240, Gold River, CA 95670RIA
BD
CRD#: 16164
Gold River, CA
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
California(3/6/2013)
IAR
California(4/12/2013)
RR
Idaho(5/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory 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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Gold River, CA 95670TRUST BUT VERIFY
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