MS
Michael E. Sparrow
TRANSAMERICA FINANCIAL ADVISORS
Oakbrook Terrace, IL 60181
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CRD#: 7448680
MS
Professional summary
Michael Edward Sparrow, who also goes by Michael Edward Gajeski, Michael Edward Gajewski, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Oakbrook Terrace, Illinois.
Michael is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Michael has worked at 1 firm and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Michael Edward Gajeski | Michael Edward Gajewski
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. Pearson | 06/2016 | Elk Grove Village, IL | yes -investment related | Enrollment Advisor NETLAW POSITION: Referral partner NATURE: This company does estate planning services for clients. INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 10/04/2024 ADDRESS: 12910 Shelbyville Road, Suite 124, Louisville KY 40243, United States DESCRIPTION: I will be referring Wills and Living Trusts to this company as a referral partnership. As I understand it, many advisors potentially use it as it's already approved. SOLE PROP POSITION: Song writer NATURE: Song writer INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 12/18/2013 ADDRESS: 252 Ardmore, Villa Park IL 60181, United States DESCRIPTION: None. I receive royalties and play a few shows every year.
CRS (Client Relationship Summary) - RIA
Click below to view Michael Edward Sparrow's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Michael Edward Sparrow'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
February 17, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
Current
November 10, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: One Trans Am Plaza, Oakbrook Terrace, IL 60181RIA
BD
CRD#: 16164
Oakbrook Terrace, IL
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
Illinois(1/25/2022)
IAR
Illinois(2/17/2022)
RR
Virginia(11/29/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/10/2021
General Securities 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.
