TB
Thomas K. Brumfield
TRANSAMERICA RETIREMENT ADVISORS
Land O Lakes, FL
Some features on this profile are disabled
CRD#: 7394077
TB
Professional summary
Thomas Kent Brumfield, who also goes by Thomas Kent Brumfield, Thomas K Brumfield, is a registered financial advisor currently at TRANSAMERICA RETIREMENT ADVISORS, LLC located in Land O Lakes, Florida and TRANSAMERICA INVESTORS SECURITIES, LLC located in New Port Richey, Florida.
Thomas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Thomas has worked at 4 firms and has passed the Series 63, Series 65, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Thomas Kent Brumfield | Thomas K Brumfield
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.
Bonefish Grill Non Investment related 25264 Sierra Center Blvd, Lutz, FL 33559 Restaurant Server Server Nov 13th 15 0 Restaurant server taking orders and delivering food.
CRS (Client Relationship Summary) - RIA
Click below to view Thomas Kent Brumfield'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
August 1, 2024 - Present
TRANSAMERICA RETIREMENT ADVISORS, LLC
RIA
CRD#: 107319
Land O Lakes, FL
Current
June 10, 2024 - Present
TRANSAMERICA INVESTORS SECURITIES, LLC
BD
CRD#: 32205
New Port Richey, FL
Past
February 13, 2023 - May 7, 2024
MORGAN STANLEY
BD
CRD#: 149777
Tampa, FL
Past
February 7, 2023 - May 7, 2024
MORGAN STANLEY
RIA
CRD#: 149777
Tampa, FL
Past
August 23, 2021 - November 4, 2022
FISHER INVESTMENTS
RIA
CRD#: 107342
TAMPA, FL
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(6/10/2024)
RR
Alaska(6/10/2024)
RR
Arizona(6/10/2024)
RR
Arkansas(6/10/2024)
RR
California(6/10/2024)
RR
Colorado(6/10/2024)
RR
Connecticut(6/10/2024)
RR
Delaware(6/10/2024)
RR
District of Columbia(6/10/2024)
RR
Florida(6/10/2024)
IAR
Florida(8/1/2024)
RR
Georgia(6/10/2024)
RR
Hawaii(6/10/2024)
RR
Idaho(6/10/2024)
RR
Illinois(6/10/2024)
RR
Indiana(6/10/2024)
RR
Iowa(6/10/2024)
RR
Kansas(6/10/2024)
RR
Kentucky(6/10/2024)
RR
Louisiana(6/10/2024)
RR
Maine(6/10/2024)
RR
Maryland(6/10/2024)
RR
Massachusetts(6/10/2024)
RR
Michigan(6/10/2024)
RR
Minnesota(6/10/2024)
RR
Mississippi(6/10/2024)
RR
Missouri(6/10/2024)
RR
Montana(6/10/2024)
RR
Nebraska(6/10/2024)
RR
Nevada(6/10/2024)
RR
New Hampshire(6/10/2024)
RR
New Jersey(6/10/2024)
RR
New Mexico(6/10/2024)
RR
New York(6/10/2024)
RR
North Carolina(6/10/2024)
RR
North Dakota(6/10/2024)
RR
Ohio(6/10/2024)
RR
Oklahoma(6/10/2024)
RR
Oregon(6/10/2024)
RR
Pennsylvania(6/10/2024)
RR
Puerto Rico(6/10/2024)
RR
Rhode Island(6/10/2024)
RR
South Carolina(6/10/2024)
RR
South Dakota(6/10/2024)
RR
Tennessee(6/10/2024)
RR
Texas(6/10/2024)
RR
Utah(6/10/2024)
RR
Vermont(6/10/2024)
RR
Virginia(6/10/2024)
RR
Washington(6/10/2024)
RR
West Virginia(6/10/2024)
RR
Wisconsin(6/10/2024)
RR
Wyoming(6/10/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 2/13/2023
General Securities Representative ExaminationGeneral 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
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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.
