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Aileen M. Dizon
TRANSAMERICA FINANCIAL ADVISORS
Plano, TX 75075
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CRD#: 6439006
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Professional summary
Aileen M Dizon is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Plano, Texas.
Aileen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Aileen 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. NATIONAL ASSOCIATION OF REGISTERED SOCIAL SECURITY ANALYSTS | NOT INVESTMENT RELATED | SOCIAL SECURITY ANALYSIS | RSSA | 800 E CAMPBELL RD STE 310 RICHARDSON TX 75081 | START DATE: 09/14/2021 | 20HR/MO-1HR DURING TRADING | POSSIBLY HOLD WORKSHOPS TO THE PUBLIC LIKE IN LIBRARIES OR OTHER FACILITIES TO PROVIDE INFORMATION SOCIAL SECURITY. AE DIZON, LLC/NOT INVESTMENT RELATED/MANAGING MEMBER/3.19.2015/8111 LBJ FWY, SUITE 100, DALLAS, TX 75251/THIS LLC HAS NO INCOME AND IS A PASS THROUGH ENTITY FOR WFG BUSINESS EXPENSE, REPORTING, AND TRACKING PURPOSES. MY HUSBAND'S AND MY BUSINESS CREDIT CARD, AND BUSINESS CHECKING ARE TIED TO THIS LLC/TRACKING EXPENSE REPORTS, CONSOLIDATION FOR TAX REPORTING PURPOSES./HOURS.MONTHS: 2 HEARTLAND INSTITUTE OF FINANCIAL EDUCATION, COLLEGE CONSULTANT/NOT INVESTMENT RELATED/COLLEGE CONSULTANT/6.24.2017/8111 LBJ FWY, SUITE 100, DALLAS, TX 75251/COLLEGE COACHING PROGRAM FOR STUDENTS IN HIGH SCHOOL OR OLDER/OCCASIONAL SEMINARS AT MY WFG/WSB OFFICE LOCATIONS, AND OCCASIONALLY DOING PUBLIC APPEARANCE AT PUBLIC LIBRARIES./HOURS.MONTH: 2 VOLUNTARY BENEFITS @ WORK POSITION: agent NATURE: Insurance Sales INVESTMENT RELATED: No NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 2 START DATE: 08/18/2022 ADDRESS: 2121 Newmarket Pkwy SE, Suite 100, Marietta GA 30067, United States DESCRIPTION: Insurance sales and marketing of Transamerica's TransElite product through appointment with VB Work to small businesses. Daily activities include marketing and new business solicitation. CHRISTUS HEALTH POSITION: HR Information System Analyst Senior NATURE: Health Care INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 8 START DATE: 12/05/2022 ADDRESS: 919 Hidden Ridge, Irving TX 75038, United States DESCRIPTION: Working as a full-time employee for CHRISTUS Health responsible for providing support and project implementation service in the Human Resources Information Systems department.
CRS (Client Relationship Summary) - RIA
Click below to view Aileen M Dizon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Aileen M Dizon'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
April 4, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1255 West 15th Street Suite 460, Plano, TX 75075RIA
BD
CRD#: 16164
Plano, TX
Current
February 23, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1255 West 15th Street Suite 460, Plano, TX 75075RIA
BD
CRD#: 16164
Plano, TX
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(7/6/2016)
RR
Delaware(9/19/2025)
RR
North Carolina(9/18/2024)
RR
Texas(5/12/2015)
IAR
Texas(4/4/2022)
RR
Virginia(6/6/2019)
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)
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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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Plano, TX 75075TRUST BUT VERIFY
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