AS
Allen M. Swenson
TRANSAMERICA RETIREMENT ADVISORS
Duluth, MN
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CRD#: 6920131
AS
Professional summary
Allen Michael Swenson is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Duluth, Minnesota and TRANSAMERICA INVESTORS SECURITIES, LLC located in New Hope, Minnesota.
Allen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2018. Allen has worked at 2 firms and has passed the Series 65, Series 63, 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.
the name of the other business; Jukinmedia whether the business is investment-related; No the address of the other business; 5764 W Jefferson Blvd Los Angeles CA 90016 the nature of the other business; Jukin media is a firm that will pay content creators for videos that they can then market and sell to advertisers. your position; Content creator title, or relationship with the other business; Content creator. I snowboard recreationally and like to make videos of myself snowboarding that I post on YouTube. This company reached out to me and offered to market my video to advertisers for monetization. They notified me on 04/27/2021 that my video has generated income that I'm eligible to receive a portion of. It's possible that this could generate a small income on an annual basis between $0-2K. I have no desire to invest any additional time or energy into creating more videos for them to market. the start date of your relationship;12/07/2018 the approximate number of hours/month you devote to the other business; 0 hours per month. This is completely passive for me. They are offering compensation for a video I made back in 2018. the number of hours you devote to the other business during securities trading hours;0 hours and briefly describe your duties relating to the other business; I do not have any duties to uphold other than making sure my payment information is up to date so they can ACH deposit into my bank account.
CRS (Client Relationship Summary) - RIA
Click below to view Allen Michael Swenson'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 18, 2018 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Duluth, MN
Current
April 6, 2018 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
New Hope, MN
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(5/14/2018)
RR
Alaska(5/14/2018)
RR
Arizona(5/14/2018)
RR
Arkansas(5/14/2018)
RR
California(5/14/2018)
RR
Colorado(4/11/2018)
RR
Connecticut(5/14/2018)
RR
Delaware(5/14/2018)
RR
District of Columbia(5/14/2018)
RR
Florida(5/14/2018)
RR
Georgia(5/14/2018)
RR
Hawaii(5/14/2018)
RR
Idaho(5/14/2018)
RR
Illinois(5/14/2018)
RR
Indiana(5/14/2018)
RR
Iowa(5/14/2018)
RR
Kansas(5/14/2018)
RR
Kentucky(5/14/2018)
RR
Louisiana(5/14/2018)
RR
Maine(5/14/2018)
RR
Maryland(5/14/2018)
RR
Massachusetts(5/14/2018)
RR
Michigan(5/14/2018)
RR
Minnesota(5/14/2018)
IAR
Minnesota(11/10/2022)
RR
Mississippi(5/14/2018)
RR
Missouri(5/14/2018)
RR
Montana(5/14/2018)
RR
Nebraska(5/14/2018)
RR
Nevada(5/14/2018)
RR
New Hampshire(5/14/2018)
RR
New Jersey(5/14/2018)
RR
New Mexico(5/14/2018)
RR
New York(5/14/2018)
RR
North Carolina(5/14/2018)
RR
North Dakota(5/14/2018)
RR
Ohio(5/14/2018)
RR
Oklahoma(5/14/2018)
RR
Oregon(5/14/2018)
RR
Pennsylvania(5/14/2018)
RR
Puerto Rico(5/14/2018)
RR
Rhode Island(5/14/2018)
RR
South Carolina(5/14/2018)
RR
South Dakota(5/14/2018)
RR
Tennessee(5/14/2018)
RR
Texas(5/14/2018)
RR
Utah(5/14/2018)
RR
Vermont(5/14/2018)
RR
Virginia(5/14/2018)
RR
Washington(5/14/2018)
RR
West Virginia(5/14/2018)
RR
Wisconsin(5/14/2018)
RR
Wyoming(5/14/2018)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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
Registered Investment Advisory firm - (12/16/1992 Approved)Upgrade to AdvisorCheck Premium
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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.
