YG
Yoga L. Gudivada
TRANSAMERICA FINANCIAL ADVISORS
Plano, TX 75024
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CRD#: 7291489
YG
Professional summary
Yoga L Gudivada, who also goes by Narasimham Yoga Lakshmi Gudivada, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Plano, Texas.
Yoga is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Yoga has worked at 1 firm and has passed the Series 63, Series 65, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Narasimham Yoga Lakshmi Gudivada
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 products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. WSB is a co-brand that is used by agents affiliated with World Financial Group Insurance Agency, an insurance agency affiliate of Transamerica Financial Advisors, LLC. 05/2019PRESENTWorld System Builders (WSB)AlvisoCaliforniaUnited StatesYesNA GAVI Associates INC / 1121-Present / Investment Related: No / 2421 Bunny Run Ln, Frisco, TX 75034 / Partner/ IT consulting Services / Hrs. Work Monthly: 80 / Sec Trading Hrs: 4 / The activities are similar to what I do today with my self-employment - implementing Oracle Application for companies A+ Insurance Designers/No/1111 West Mockingbird Ln. Dallas, TX 75247/Independent Agent/Health Insurance Agent/12/06/2021/5/1/Profice Health Insurance Quotes to Clients/approved with restrictions TRANSAMERICA EMPLOYEE BENEFITS POSITION: Agent NATURE: Be an Agent and provide Employee Benefits package for an Organization INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 02/12/2024 ADDRESS: 2421 Bunny Run Ln, Frisco TX 75034, United States DESCRIPTION: Work with Companies who want to setup Employee Benefits like Group Life Insurance and TransAmerica Employee Benefits to setup a Group Plans for the company employees. GITA MANDIR INC POSITION: Director NATURE: Non Profit Organization, Building temple and Indian Cultural and heritage center INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 4 START DATE: 04/12/2024 ADDRESS: 2421 Bunny Run Ln, Frisco TX 75034, United States DESCRIPTION: Involved in book keeping and accounting of the non-profit. Involved as a founding director. Do not have any check writing responsibility. NET LAW POSITION: Agent NATURE: Estate Planning Software Provider INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 11/18/2024 ADDRESS: 12910 Shelbyville Road, Suite 124,, Louisville, KY 40243, United States DESCRIPTION: I have procured some licenses for Estate Planning solution to offer it to clients. This package comes along with Trust. COLLEGE FUNDING SOLUTIONS INC POSITION: Advisor NATURE: College Planning INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 2 START DATE: 06/16/2025 ADDRESS: 4676 Commercial St SE #460, Salem OR 97302, United States DESCRIPTION: Be an Advisor for College Planning Program offered by CFS. They help high school students prepare for college which includes Academic, Social and Financial Inputs. PEOPLE 2.0 POSITION: Associate NATURE: IT Consulting INVESTMENT RELATED: No NUMBER OF HOURS: 100 SECURITIES TRADING HOURS: 50 START DATE: 07/28/2025 ADDRESS: 330 Potrero Ave, Sunnyvale CA 94085, United States DESCRIPTION: Implement Oracle financials for mutiple clients. Initial client will be HCLTech. Oracle financials refers to an ERP package that will be implemented to different companies. It will be used as their book keeping record. This is purely an IT consulting activity and a book keeping software. There is no investments or investment related activity involved at all. The companies implemented will use Oracle financials as their financial reporting and accounting systems. my role will be to understand their current accounting software and design Oracle financials accordingly. We discuss their accounting requirements and design the software to meet their needs. This is an IT consulting activity. We don't discuss or talk about any investments
CRS (Client Relationship Summary) - RIA
Click below to view Yoga L Gudivada's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yoga L Gudivada'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
October 10, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5700 Tennyson Parkway Suite 300 Room 58, Plano, TX 75024RIA
BD
CRD#: 16164
Plano, TX
Current
December 4, 2020 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 5700 Tennyson Parkway Suite 300 Room 58, Plano, TX 75024RIA
BD
CRD#: 16164
Plano, TX
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.
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
California(2/10/2021)
RR
Florida(5/17/2024)
RR
Georgia(4/4/2024)
RR
Iowa(2/19/2025)
RR
Massachusetts(10/2/2024)
RR
Minnesota(4/4/2024)
IAR
New Jersey(11/30/2020)
RR
New Jersey(12/21/2020)
IAR
North Carolina(12/1/2022)
RR
North Carolina(1/2/2024)
RR
Pennsylvania(1/29/2025)
IAR
Texas(10/10/2020)
RR
Texas(12/21/2020)
RR
Washington(8/11/2025)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 12/4/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
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)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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#: 16164Plano, TX 75024TRUST BUT VERIFY
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