RM
Rafael Mora
TRANSAMERICA FINANCIAL ADVISORS
Woodland Hills, CA 91367
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CRD#: 6231368
RM
Professional summary
Rafael Mora Jr., who also goes by Rafael Mora Jr, Rafael Mora, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Woodland Hills, California.
Rafael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Rafael has worked at 5 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Rafael Mora Jr | Rafael Mora
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. Rental property Start date 4/2021 Owner - property manager maintains 6616 Stark Court | Riverdale, GA 30274 Investment related: NO 0 hours per month
CRS (Client Relationship Summary) - RIA
Click below to view Rafael Mora Jr.'s CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rafael Mora Jr.'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 25, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21300 Victory Blvd. Suite 120a, Woodland Hills, CA 91367RIA
BD
CRD#: 16164
Woodland Hills, CA
Current
August 25, 2025 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 21300 Victory Blvd. Suite 120a, Woodland Hills, CA 91367RIA
BD
CRD#: 16164
Woodland Hills, CA
Past
June 2, 2023 - September 6, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
SANTA BARBARA, CA
Past
May 22, 2023 - September 5, 2023
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
SMITHFIELD, RI
Past
April 13, 2018 - November 1, 2021
WORLD INVESTMENT ADVISORS, LLC
RIA
CRD#: 208512
SANTA BARBARA, CA
Past
November 28, 2017 - November 1, 2021
PENSIONMARK SECURITIES, LLC
BD
CRD#: 283952
Santa Barbara, 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(8/25/2025)
IAR
California(8/25/2025)
Exams
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)
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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.
