JS
Jeffrey D. Spainhour
TRANSAMERICA FINANCIAL ADVISORS
Louisville, KY 40243
Some features on this profile are disabled
CRD#: 6228367
JS
Professional summary
Jeffrey Dennis Spainhour is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Louisville, Kentucky.
Jeffrey is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Jeffrey has worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 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. Wealthwave | marketing | investment related | co-brand company through WFGIA | 01/2016 | Louisville, KY Buffalo Health Advisors / 0521-Present/Investment Related: No /624 Grassmere Park Drive, Suite 1, Nashville, TN 37211 / Agent / Medicare & Health Insurance / Hrs Work Monthly: 1 / Sec Trading Hrs: 1 / Book Medicare and Health insurance policies as an agent SUPERTECH, INC./INVESTMENT RELATED - NO/PO BOX 153, BUCKNER, KY 40010 1802 CEDAR POINT ROAD, LAGRANGE, KY 40031 502-727-5671/SUB S COMPANY FOR 1099 PURPOSES. I SELL HEALTH, LIFE, PROPERTY AND CASUALTY FOR VARIOUS CARRIERS SUCH AS ANTHEM, HUMANA, GENWORTH, AND PATRIOT INSURANCE FOR PROPERTY / CASUALTY./PRESIDENT/06.1996/10/10/PRESIDENT#10;#10; NetLaw / 0619-Present/ Investment Related: No /12910 Shelbyville Rd. Louisville, KY 40243 / Representative / Law office / hrs work monthly: 5 / Sec trading hrs: 0 / Solicit Business HEARTLAND INSTITUTE OF FINANCIAL EDUCATION/emp dates: 0820 TO PRESENT/ INVESTMENT RELATED: NO /address: 8301 E. PRENTICE AVE STE 312 GREENWOOD VILLAGE, CO 80111/ position: TEACHER/ nature of business: FINANCIAL EDUCATION/hrs work monthly: 10/Sec trading hrs: 1/ duties: TEACHING CLASS SPAINHOUR INSURANCE GROUP, INC. POSITION: PRESIDENT NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 120 SECURITIES TRADING HOURS: 5 START DATE: 07/01/2015 ADDRESS: PO Box 153, Buckner KY 40010, United States DESCRIPTION: Insurance Sales of mainly health insurance products. INDEPENDENT AGENTS OF KY, INC. POSITION: Agent NATURE: Property and Casualty Agentcy INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 03/08/2024 ADDRESS: 806 Stone Creek Parkway, Suite 1, Louisville KY 40223, United States DESCRIPTION: Referring agent of property and casualty insurance. COMMONWEALTH INSURANCE SERVICE POSITION: Agent NATURE: Property and Casualty Insurance INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 1 START DATE: 07/31/2025 ADDRESS: 12000 Shelbyville Road, Louisville KY 40243, United States DESCRIPTION: Referring Property and Casualty Insurance. TNTS INSURANCE SERVICES POSITION: Agent NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 2 START DATE: 07/31/2025 ADDRESS: 203 Roper Mountain Road, Greenville SC 29615, United States DESCRIPTION: Producing Agent
CRS (Client Relationship Summary) - RIA
Click below to view Jeffrey Dennis Spainhour's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jeffrey Dennis Spainhour'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
August 31, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 12910 Shelbyville Rd., Louisville, KY 40243RIA
BD
CRD#: 16164
Louisville, KY
Current
June 17, 2014 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 12910 Shelbyville Rd., Louisville, KY 40243RIA
BD
CRD#: 16164
Louisville, KY
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
Kentucky(6/17/2014)
IAR
Kentucky(8/31/2017)
Exams
State Security Law Exam
State Security Law Exam
General 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 16164Louisville, KY 40243TRUST BUT VERIFY
Monitor Jeffrey Spainhour
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
