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TG

Tammy L. Guns

Some features on this profile are disabled
CRD#: 7233546
TG

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.

Tammy Lynn Guns, who also goes by Tammy Guns, Tammy Lynn Schlei, was a registered financial professional .

Tammy is a previously registered financial professional and started their career in finance in 2020. Tammy had worked at 4 firms and has passed the Series 65, Series 63, Series 7TO, Series 6TO and SIE exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Tammy Guns | Tammy Lynn Schlei

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 TLGuns LLC DBA CanCorp Consulting LLC/Investment Related - No/5200 S Ulster Street #1319 Greenwood Village Colorado 80111/Divorce Mediation as well as writer and public speaker/CEO/04.2017/40/0/I do divorce mediation as well as write books and do public speaking. GUNSMORGAN DBA CANCORP CONSULTING LLC/Investment Related - No/5200 S Ulster St #1319 Greenwood Village CO 80111/GunsMorgan LLC DBA CanCorp Consulting LLC - the name changed to TLGuns LLC - healthcare consulting, mediator, speaker, author/CEO/04.2017/0/0/none HOW TO HEAL YOUR HEART AND SOUL FROM DIVORCE/Investment Related - No/5200 S Ulster St #1319 Greenwood Village CO 80111/Published book that no longer is sold or I get any royalites/Author/02.2008/0/0/wrote the book YOUR ULTIMATE DAILY GUIDE FOR SUCCESS/Investment Related - No/5200 S Ulster St #1319 Greenwood Village CO 80111/Published book/Author/12.2014/0/0/None

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

November 11, 2021 - October 18, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past

November 11, 2021 - October 18, 2023

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
GREENWOOD VILLAGE, CO
Past

November 12, 2020 - October 11, 2021

CETERA INVESTMENT ADVISERS LLC

RIA
CRD#: 105644
GREENWOOD VILLAGE, CO
Past

August 13, 2020 - November 12, 2020

FIRST ALLIED ADVISORY SERVICES, INC.

RIA
CRD#: 137888
Greenwood Village, CO
Past

August 13, 2020 - October 11, 2021

FIRST ALLIED SECURITIES, INC.

BD
CRD#: 32444
Brookfield, WI
Past

May 20, 2020 - August 14, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

RIA
CRD#: 16164
GREENWOOD VILLAGE, CO
Past

March 6, 2020 - August 14, 2020

TRANSAMERICA FINANCIAL ADVISORS, LLC

BD
CRD#: 16164
GREENWOOD VILLAGE, 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".
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: 5/11/2020
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 3/16/2020
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 10/8/2020
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6TO
Date: 3/6/2020
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 1/18/2020
Securities Industry Essentials Examination

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)
TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

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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