TE
Thomas R. Ellis
TRANSAMERICA RETIREMENT ADVISORS
SURPRISE, AZ
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CRD#: 6441376
TE
Professional summary
Thomas Robert Ellis is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Surprise, Arizona and TRANSAMERICA INVESTORS SECURITIES, LLC located in Plymouth, Minnesota.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Thomas has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 24 and Series 26 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.
As an employee of Transamerica Financial Advisors, Inc., may perform home office functions for other business units. |Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Robert Ellis'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
June 24, 2025 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
SURPRISE, AZ
Current
June 23, 2025 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
Plymouth, MN
Past
May 11, 2016 - June 18, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
SURPRISE, AZ
Past
October 30, 2015 - June 18, 2025
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
JOHNS CREEK, GA
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(6/23/2025)
RR
Alaska(6/23/2025)
RR
Arizona(6/23/2025)
IAR
Arizona(6/24/2025)
RR
Arkansas(6/23/2025)
RR
California(6/23/2025)
RR
Colorado(6/23/2025)
RR
Connecticut(6/23/2025)
RR
Delaware(6/23/2025)
RR
District of Columbia(6/23/2025)
RR
Florida(6/23/2025)
RR
Georgia(6/23/2025)
RR
Hawaii(6/23/2025)
RR
Idaho(6/23/2025)
RR
Illinois(6/23/2025)
RR
Indiana(6/23/2025)
RR
Iowa(6/23/2025)
RR
Kansas(6/23/2025)
RR
Kentucky(6/23/2025)
RR
Louisiana(6/23/2025)
RR
Maine(6/23/2025)
RR
Maryland(6/23/2025)
RR
Massachusetts(6/23/2025)
RR
Michigan(6/23/2025)
RR
Minnesota(6/23/2025)
RR
Mississippi(6/23/2025)
RR
Missouri(6/23/2025)
RR
Montana(6/23/2025)
RR
Nebraska(6/23/2025)
RR
Nevada(6/23/2025)
RR
New Hampshire(6/23/2025)
RR
New Jersey(6/23/2025)
RR
New Mexico(6/23/2025)
RR
New York(6/23/2025)
RR
North Carolina(6/23/2025)
RR
North Dakota(6/23/2025)
RR
Ohio(6/27/2025)
RR
Oklahoma(6/23/2025)
RR
Oregon(6/23/2025)
RR
Pennsylvania(6/23/2025)
RR
Puerto Rico(6/23/2025)
RR
Rhode Island(6/23/2025)
RR
South Carolina(6/23/2025)
RR
South Dakota(6/23/2025)
RR
Tennessee(6/23/2025)
RR
Texas(6/23/2025)
RR
Utah(6/23/2025)
RR
Vermont(6/23/2025)
RR
Virginia(6/23/2025)
RR
Washington(6/23/2025)
RR
West Virginia(6/23/2025)
RR
Wisconsin(6/23/2025)
RR
Wyoming(6/23/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory 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.
