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JT

Joseph Toke

TRANSAMERICA RETIREMENT ADVISORS
Los Angeles, CA
Some features on this profile are disabled
CRD#: 6229942
JT
Joseph TokeTRANSAMERICA RETIREMENT ADVISORS

Professional summary

Joseph Toke, who also goes by Joseph D Toke, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Los Angeles, California and TRANSAMERICA INVESTORS SECURITIES, LLC located in Harrison, New York.

Joseph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Joseph has worked at 3 firms and has passed the Series 66, SIE, Series 7, Series 10 and Series 9 exams.

Aliases

Joseph D Toke

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 Joseph Toke'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

February 28, 2023 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA
CRD#: 107319
Los Angeles, CA
Current

February 28, 2023 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 440 Mamaroneck Avenue, Harrison, NY 10528
BD
CRD#: 32205
HARRISON, NY
Past

January 26, 2015 - February 27, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA
CRD#: 7691
CENTURY CITY, CA
Past

August 12, 2014 - February 27, 2023

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BD
CRD#: 7691
PENNINGTON, NJ

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".
TR
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.
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
(2/28/2023)
IAR
California
(2/28/2023)
RR
Nevada
(2/28/2023)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 1/22/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 8/12/2014
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/2/2017
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 11/14/2016
General Securities Sales Supervisor - Options Module Examination
SRO Registrations
RR
FINRA

Current Firm

TR
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)
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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 Accounts212,836
AUM (Assets Under Management)$ 16,157,423,229

Accountant surprise examination report

Filing DateForm ADV-E CoverForm 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.

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

CRD#: 107319Los Angeles, CA

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