Kevin Vaughan

TRANSAMERICA RETIREMENT ADVISORS

Denver, CO 80202-5822

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CRD#: 7046176

Professional summary

Kevin Vaughan is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Denver, Colorado and TRANSAMERICA INVESTORS SECURITIES, LLC located in Denver, Colorado.

Kevin is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2019. Kevin has worked at 3 firms and has passed the Series 66, Series 7TO and SIE 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 advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Vaughan'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

January 12, 2021 - Present

TRANSAMERICA RETIREMENT ADVISORS, LLC

Office #1: 1801 California Street Suite 3900, Denver, CO 80202-5822

RIA

CRD#: 107319

Denver, CO

Current

January 12, 2021 - Present

TRANSAMERICA INVESTORS SECURITIES, LLC

Office #1: 1801 California St. Suite 5200, Denver, CO 80202

CRD#: 32205

Denver, CO

Past

May 31, 2019 - November 24, 2020

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

ENGLEWOOD, CO

Past

March 22, 2019 - November 24, 2020

EQUITABLE ADVISORS, LLC

CRD#: 6627

ENGLEWOOD, CO

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

Colorado
(1/12/2021)

IAR

Colorado
(1/12/2021)

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: 5/21/2019

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7TO

Date: 3/22/2019

General Securities Representative Examination

General Industry/Product Exam

SIE

Date: 2/4/2019

Securities Industry Essentials 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

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Firm Stability Insights

Kevin Vaughan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Kevin Vaughan's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA INVESTORS SECURITIES, LLC

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

TRANSAMERICA RETIREMENT ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 5/21/2019

Series 7TO

Date: 3/22/2019

SIE

Date: 2/4/2019

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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