Seth Michael Whan
Professional Summary
Seth Michael Whan is a registered financial advisor currently at TRANSAMERICA CAPITAL, LLC located in Cedar Rapids, Iowa and TRANSAMERICA INVESTORS SECURITIES, LLC located in Cedar Rapids, Iowa. Seth is registered as a RR (Registered Representative) and started their career in finance in 2022. Seth has worked at 3 firms and has passed the Series 99TO and SIE exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures on record.
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Years of Experience
4 years registered in the securities industry
Current & Past Employments
Current
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Current Firm
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
Contact Information
Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001Phone Number
(727) 299-1800Established
Delaware since 12/28/1984Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
Large# of Employees
991SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
FINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
42,735AUM (Assets Under Management)
$2,106,655,325Disclosures
Regulatory Event
19Arbitration
3Bond
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.
State Registrations and Notice Filings
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Seth Michael Whan's CRS (Customer Relationship Summary).
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