DR
Dennis R. Rooney
TRANSAMERICA RETIREMENT ADVISORS
Charlotte, NC
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CRD#: 6330718
DR
Professional summary
Dennis Raymond Rooney is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Charlotte, North Carolina and TRANSAMERICA INVESTORS SECURITIES, LLC located in Denver, Colorado.
Dennis is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Dennis has worked at 2 firms 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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - RIA
Click below to view Dennis Raymond Rooney'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 18, 2017 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Charlotte, NC
Current
May 2, 2017 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
Office #1: 1801 California St. Suite 5200, Denver, CO 80202BD
CRD#: 32205
Denver, CO
Past
July 10, 2014 - December 31, 2016
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
ST. PETERSBURG, FL
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
Alabama(5/22/2017)
RR
Alaska(5/22/2017)
RR
Arizona(5/22/2017)
RR
Arkansas(5/22/2017)
RR
California(5/22/2017)
RR
Colorado(5/22/2017)
RR
Connecticut(5/22/2017)
RR
Delaware(5/22/2017)
RR
District of Columbia(5/22/2017)
RR
Florida(5/2/2017)
RR
Georgia(5/17/2017)
RR
Hawaii(5/22/2017)
RR
Idaho(5/22/2017)
RR
Illinois(5/22/2017)
RR
Indiana(5/22/2017)
RR
Iowa(5/22/2017)
RR
Kansas(5/22/2017)
RR
Kentucky(5/22/2017)
RR
Louisiana(5/22/2017)
RR
Maine(5/22/2017)
RR
Maryland(5/22/2017)
RR
Massachusetts(5/22/2017)
RR
Michigan(5/22/2017)
RR
Minnesota(5/22/2017)
RR
Mississippi(5/22/2017)
RR
Missouri(5/22/2017)
RR
Montana(5/22/2017)
RR
Nebraska(5/22/2017)
RR
Nevada(5/22/2017)
RR
New Hampshire(5/22/2017)
RR
New Jersey(5/22/2017)
RR
New Mexico(5/22/2017)
RR
New York(5/22/2017)
RR
North Carolina(5/22/2017)
IAR
North Carolina(9/16/2019)
RR
North Dakota(5/22/2017)
RR
Ohio(5/22/2017)
RR
Oklahoma(5/22/2017)
RR
Oregon(5/22/2017)
RR
Pennsylvania(5/22/2017)
RR
Puerto Rico(5/22/2017)
RR
Rhode Island(5/22/2017)
RR
South Carolina(5/22/2017)
RR
South Dakota(5/22/2017)
RR
Tennessee(5/22/2017)
RR
Texas(5/22/2017)
RR
Utah(5/22/2017)
RR
Vermont(5/22/2017)
RR
Virginia(5/22/2017)
RR
Washington(5/22/2017)
RR
West Virginia(5/22/2017)
RR
Wisconsin(5/22/2017)
RR
Wyoming(5/22/2017)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
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
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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
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 212,836 |
| AUM (Assets Under Management) | $ 16,157,423,229 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/10/2025 | ||
| 10/25/2024 | ||
| 07/25/2023 |
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.
