RA
Rama S. Appalla
TRANSAMERICA FINANCIAL ADVISORS
ELK GROVE, CA 95624
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CRD#: 6805731
RA
Professional summary
Rama Suryanarayana Appalla is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Elk Grove, California.
Rama is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Rama has worked at 1 firm and has passed the Series 65, Series 63, Series 7TO, 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." LSPN PRO, LLC|NOT INVESTMENT RELATED|100 N STATE ST. STE B. LINDON, UT 84042|ESTATE PLANNING SERVICES|REPRESENTATIVE|01.10.22|4 HRS A MONTH|1 HR DURING SECURITIES TRADING|CLIENT COMMUNICATIONS, MARKETING, AND REFERRING POTENTIAL CLIENTS. KIWANIS CLUB OF MOUNTAIN HOUSE|NOT INVESTMENT RELATED|596 W. SOMBRA WAY. MOUNTAIN HOUSE, CA 95391|NON PROFIT FOR KIDS|SECRETARY|09.20.2018|8 HOURS A MONTH|0 HR DURING SECURITIES TRADING|KEEP THE CLUBS RECORDS, REPORT MEMBERSHIP CHANGES TO KIWANIS, KEEP MINUTES OF CLUBS AND BOARD MEETINGS, FILE REQUIRED REPORT (IF ANY) WITH LOCAL, NATIONAL, AND OTHER GOVERNMENT AUTHORITIES, AND REGULARLY REPRT TO MEMBERS AND BOARDS. Heartland Institute of Financial Education / 0417-Present /Investment-related: No /8301 East Prentice Avenue suite 312 Greenwood Village , CO 80111 / college consultant/ being consultant, I enroll students in the college coaching program, where students get career advise from coach. Hrs Work Monthly: 4 / Sec Trading Hrs: 0 / enroll high school students into the college coaching program, and talk to their parents about this program DELL EMC/Investment Related - No/5450 great America parkway santa clara ca/design and develop software to orchestrate network elements which connects storage and compute servers/software principal engineer/02.2015/40/0/to develop, design and maintain software Co name: LEGACY SHIELD/emp dates: 0321 TO PRESENT/ INVESTMENT RELATED: NO /address: 100 EXECUTIVE WAY SUITE 105 PONTE VEDRA BEACH, FL 32082 / position: CONSULTANT/ nature of business: ESTATE PLANNING/hrs work monthly: 4/Sec trading hrs: 0/ duties: WILL BE SELLING ESTATE PLANNING PACKAGES OBA Amendment Update: LEGACY SHIELD INHERITGUARD, LLC POSITION: Associate NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 09/23/2025 ADDRESS: 30 N Gould Street, STE 41954, sheridan WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS.
CRS (Client Relationship Summary) - RIA
Click below to view Rama Suryanarayana Appalla's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Rama Suryanarayana Appalla'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 21, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9355 East Stockton Blvd. Ste 160, Elk Grove, CA 95624RIA
BD
CRD#: 16164
ELK GROVE, CA
Current
August 25, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9355 East Stockton Blvd. Ste 160, Elk Grove, CA 95624RIA
BD
CRD#: 16164
ELK GROVE, 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(12/6/2017)
IAR
California(6/21/2018)
RR
Massachusetts(1/12/2021)
RR
New Jersey(1/12/2021)
IAR
New Jersey(1/12/2021)
RR
North Carolina(1/7/2021)
RR
Texas(1/12/2021)
IAR
Texas(1/13/2021)
RR
Virginia(1/7/2021)
RR
Washington(5/17/2022)
RR
Wisconsin(12/16/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 1/28/2021
General Securities Representative ExaminationGeneral 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#: 16164Elk Grove, CA 95624TRUST BUT VERIFY
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