Stephen G. Stoddard
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.
Stephen Gerald Stoddard, who also goes by Steve Stoddard, was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 1981. Stephen had worked at 12 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 15, 2014 - December 3, 2020
TRANSAMERICA RETIREMENT ADVISORS, LLC
March 19, 2010 - December 3, 2020
TRANSAMERICA INVESTORS SECURITIES, LLC
July 6, 2009 - March 11, 2010
LPL FINANCIAL LLC
September 23, 2004 - October 2, 2007
EPLANNING SECURITIES, INC.
May 4, 2004 - September 15, 2004
MID ATLANTIC FINANCIAL MANAGEMENT, INC.
May 3, 2004 - September 15, 2004
NEWEDGE SECURITIES, LLC
July 8, 1997 - May 4, 2004
FDX ADVISORS, INC.
January 2, 1996 - May 3, 2004
LONDON PACIFIC SECURITIES, INC.
October 28, 1994 - January 1, 1996
INVESTACORP, INC.
January 1, 1991 - November 22, 1994
INTERCAL SECURITIES CO.
May 24, 1988 - December 17, 1990
PRUDENTIAL EQUITY GROUP, LLC
June 23, 1981 - May 28, 1988
UBS FINANCIAL SERVICES INC.
Primary Firm SEC Registration
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA RETIREMENT ADVISORS, LLC
CRD#: 107319 / SEC#: 801-42910
Contact information
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.
