James J. Gorman

TRANSAMERICA RETIREMENT ADVISORS

Louisville, KY

CRD#: 6910983

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Professional summary

James Joseph Gorman, who also goes by James Joseph Gorman IV, James Joseph Gorman, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Louisville, Kentucky and TRANSAMERICA INVESTORS SECURITIES, LLC located in Davenport,, Florida.

James is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. James has worked at 7 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

James Joseph Gorman Iv | James Joseph Gorman

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Gorman's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 23, 2026 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

RIA

CRD#: 107319

Louisville, KY

Current

June 18, 2026 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

CRD#: 32205

Davenport,, FL

Past

April 4, 2024 - February 19, 2025

EMPOWER ADVISORY GROUP, LLC

RIA

CRD#: 112058

Knoxville, TN

Past

April 4, 2024 - February 19, 2025

EMPOWER FINANCIAL SERVICES, INC.

CRD#: 13109

GREENWOOD VILLAGE, CO

Past

September 1, 2023 - January 10, 2024

CHARLES SCHWAB & CO., INC.

CRD#: 5393

Huntersville, NC

Past

August 11, 2023 - January 10, 2024

CHARLES SCHWAB & CO., INC.

RIA

CRD#: 5393

Huntersville, NC

Past

March 6, 2019 - October 14, 2022

TD AMERITRADE, INC.

RIA

CRD#: 7870

Huntersville, NC

Past

March 6, 2019 - September 7, 2023

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 111514

Huntersville, NC

Past

March 23, 2018 - September 1, 2023

TD AMERITRADE, INC.

CRD#: 7870

Huntersville, NC

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".

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.

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

Alabama
(6/18/2026)

Alaska
(6/18/2026)

Arizona
(6/18/2026)

Arkansas
(6/18/2026)

California
(6/18/2026)

Colorado
(6/18/2026)

Connecticut
(6/18/2026)

Delaware
(6/18/2026)

District of Columbia
(6/18/2026)

Florida
(6/18/2026)

Georgia
(6/18/2026)

Hawaii
(6/18/2026)

Idaho
(6/18/2026)

Illinois
(6/18/2026)

Indiana
(6/18/2026)

Iowa
(6/18/2026)

Kansas
(6/18/2026)

Kentucky
(6/18/2026)

IAR

Kentucky
(6/23/2026)

Louisiana
(6/18/2026)

Maine
(6/18/2026)

Maryland
(6/18/2026)

Massachusetts
(6/18/2026)

Michigan
(6/18/2026)

Minnesota
(6/18/2026)

Mississippi
(6/18/2026)

Missouri
(6/18/2026)

Montana
(6/18/2026)

Nebraska
(6/18/2026)

Nevada
(6/18/2026)

New Hampshire
(6/18/2026)

New Jersey
(6/18/2026)

New Mexico
(6/18/2026)

New York
(6/18/2026)

North Carolina
(6/18/2026)

North Dakota
(6/18/2026)

Ohio
(6/22/2026)

Oklahoma
(6/18/2026)

Oregon
(6/18/2026)

Pennsylvania
(6/18/2026)

Puerto Rico
(6/18/2026)

Rhode Island
(6/18/2026)

South Carolina
(6/18/2026)

South Dakota
(6/18/2026)

Tennessee
(6/18/2026)

Texas
(6/18/2026)

Utah
(6/18/2026)

Vermont
(6/18/2026)

Virginia
(6/18/2026)

Washington
(6/18/2026)

West Virginia
(6/18/2026)

Wisconsin
(6/18/2026)

Wyoming
(6/18/2026)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 2/26/2019

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 4/3/2018

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 3/23/2018

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

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)

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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

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA RETIREMENT ADVISORS, LLC THIRD PARTY MONEY MANAGERS BROCHURES (5/22/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC TRANSAMERICA PERSONALIZED PORTFOLIOS BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. DEFINED BENEFIT SERVICES BROCHURE (2/14/2025)

TRANSAMERICA RETIREMENT ADVISORS, LLC. MANAGED ADVICE SERVICES BROCHURE (2/14/2025)

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	Cover Page	Report
10/25/2024	Cover Page	Report
07/25/2023	Cover Page	Report

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.

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Advisor Monitoring

Firm Stability Insights

James J. Gorman

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view James Joseph Gorman's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

EMPOWER ADVISORY GROUP, LLC

EMPOWER FINANCIAL SERVICES, INC.

CHARLES SCHWAB & CO., INC.

CHARLES SCHWAB & CO., INC.

TD AMERITRADE, INC.

TD AMERITRADE INVESTMENT MANAGEMENT, LLC

TD AMERITRADE, INC.

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 2/26/2019

Series 63

Date: 4/3/2018

SIE

Date: 10/1/2018

Series 7

Date: 3/23/2018

FINRA

Current Firm

TRANSAMERICA RETIREMENT ADVISORS, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

TRANSAMERICA RETIREMENT ADVISORS, LLC

TRUST BUT VERIFY

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