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Daniel R. Mccollum

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CRD#: 6893131
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Professional summary


Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Daniel Robert Mccollum was a registered financial professional .

Daniel is a previously registered financial professional and started their career in finance in 2018. Daniel had worked at 1 firm and has passed the Series 65, Series 63, SIE and Series 6 exams.

top-8-questions

Question & Answer


Are you a "fiduciary"?
No

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 non-insurance and insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Favorite Healthcare Staffing Inc / 0421-Present / Inv Rltd: No / 7255 W. 98th Terrace, Bldng 5, Suite 150 Overland Park, Ks 66212 / Onsite-Logistics Rep/ Healthcare / Hrs Wrk Mnthly: 275/ Sec Trdg Hrs: 9 / Coordinate And Manage Assigned Healthcare Professionals On Assignment Krucial Staffing /0221-Present /Inv Rltd:No/7299 W 98th Terrace, Bldg 6 Suite 120 Overland Park, Ks 66212/Onsite Rep/Emergency Management / Hrs Work Monthly: 300 / Sec Trading Hrs: 9 / Providing Logistics Service - Event Coordination For Nurses In Support Of Covid Hotspot Mobilization. Destination Concepts, Inc./ Inv Rltd:No /2620 Financial Court, Suite 101, San Diego, Ca 92117/A Destination Management Company Providing Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern CA./Tour Guide/0810-prst/20/8/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management 360 Destination Group/ Inv Rltd:No /1 Venture, Suite 110, Irvine, Ca 92618/A Destination Management Company Providing Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern California./Tour Guide/10.2004/10/2/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management Allied Pra/ Inv Rltd:No /150 Paularino Ave, #155, Costa Mesa, Ca 92626/ Providing Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern California./Tour Guide/04.2003/5/2/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management Fun Is First Inc/ Inv Rltd:No 1000 North Coast Hwy, Laguna Beach, Ca 92651/A Destination Management Company Providing Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern California./Tour Guide/03.2011/1/0/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management Production Transport Of Florida/Investment Related - No/21250 Hawthorne Blvd, Ste 535, Torrance, Ca 90503/Provide Transportation And Shuttle Services For Conventions And Trade Shows Throughout The Usa./Shuttle Manager/06.2005/2/1/Manage Trade Show Shuttle Transportation And Airport Transfers. Hosts Southern California/Inv Rltd:No /Co Providing Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern CA./Guide Staff/07.2017/2/1/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management Daniel Mccollum /Inv Rltd:No/4540 Birchwood Ave, Seal Beach, Ca 90740/As A Self-Employed Sole Proprietor I Provide Event Planning Services And Logistics For Corporate, Association, Student And Incentive Events Throughout Southern California./Independent Contractor/04.1997/48/16/Logistics/Transportation, Airport Arrivals Amp; Departures, Activities, Meetings, Registration, Dine Arounds, Staff Management Hello CA Destination Management (The Event Team Inc)/ 052018-Present / Invst Rltd: No /2635 Camino Del Rio S., 3302, San Diego, Ca 92108 / Tour Guide / 10 Hrs. Work Monthly/ Sec Trading Hrs.: 1 / Logistics/Transportation, Airport Arrivals & Departures, Activities, Meetings, Registration, Dine Arounds, Team Building, Staff Management. Cathyjon Enterprises, Inc Dba Hb Staffing / Invst Rltd: No / 2120 Main St Suite 250, Huntington Beach Ca 92648 / Hours Per Month: 120 / Hours During Securities Trading Hours: 8 /Setup, Tear Down Voting Locations, Transfer Ballot Boxes, Help Voters On Election Day At A Specific Precinct

Blog Corner


CRS (Client Relationship Summary)


The CRS(Customer Relationship Summary) document is not provided.

Certified licenses


Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience


Past

March 27, 2018 - August 31, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
NEWPORT BEACH, CA
Past

March 9, 2018 - August 31, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
NEWPORT BEACH, 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.

Visual representation of state registrations

This advisor is not registered in any state.

Exams


State Security Law Exam
IAR
Series 65
Date: 3/27/2018
Uniform Investment Adviser Law Examination
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam

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)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)


Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents


Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

Direct owners and executive officers


NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management


Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures


Regulatory Event19
Arbitration3
Bond3

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#: 16164

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