PP
Patricia A. Proudman
TRANSAMERICA FINANCIAL ADVISORS
Pasadena, CA 91101
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CRD#: 6889553
PP
Professional summary
Patricia Aline Proudman, who also goes by Patricia Aline Proundman, Pat Proudman, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Pasadena, California.
Patricia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Patricia 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
Patricia Aline Proundman | Pat Proudman
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 Axianta FInancial Partners | marketing | investment related | co-brand company through WFGIA | Pasadena, CA | 03/2013 Patricia Proudman Performer | Actor | Tujunga, CA | 07/2019 | investment related College Loan Freedom/No/129 W Lake Mead Parkway, #19 Henderson, NV 89015/Student Loan Assistance/Referral Partner/ 04/20/20/1/0/I will occasionally refer a client for help with certifying his/her federal student loans for the loan forgiveness program**with restrictions** Patricia Proudman, Performer /0719-Present / Investment Related: No/7320 Valaho Drive Tujunga, CA 91042 / Actor/Performing / Hrs Work Monthly: 0 / Sec Trading Hrs: 0/Occasionally I act the part of a character and work as a crew member. GLOBAL MERCHANT INNOVATIONS LLC POSITION: Independent Contractor NATURE: Merchant services provider/ISO INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 05/10/2023 ADDRESS: 21800 Oxnard Street, Suite 900, Woodland Hills CA 91367, United States DESCRIPTION: I will occasionally refer a business to this company for merchant services. INHERITGUARD, LLC POSITION: Member NATURE: Providing bundled professional services with emphasis on estate planning services INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 03/28/2025 ADDRESS: 30 N Gould Street, Sheridan WY 82801, United States DESCRIPTION: Client communications, follow up with client issues, provide education on estate planning issues, schedule appointments. LUXE BUSINESS NETWORK CORPORATION POSITION: Member NATURE: Bringing businesses and professionals together in the local area INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 04/01/2025 ADDRESS: 2476 Huntington Drive, San Marino CA 91108, United States DESCRIPTION: Helping promote the organization's events by inviting individuals that I know to attend the events. LEGACYSHIELD SOLUTIONS, INC. POSITION: none NATURE: Referral partner INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 04/21/2025 ADDRESS: 1 Linscott Road, Woburn MA 01810, United States DESCRIPTION: Occasional client referrals for estate planning
CRS (Client Relationship Summary) - RIA
Click below to view Patricia Aline Proudman's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Patricia Aline Proudman'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
March 19, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 680 E Colorado Blvd Ste 2100, Pasadena, CA 91101RIA
BD
CRD#: 16164
Pasadena, CA
Current
December 19, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 680 E Colorado Blvd Ste 2100, Pasadena, CA 91101RIA
BD
CRD#: 16164
Pasadena, 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(1/16/2018)
IAR
California(3/19/2018)
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.
