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Karla I. Knox
TRANSAMERICA FINANCIAL ADVISORS
Cincinnati, OH 45245
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CRD#: 7489363
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Professional summary
Karla Irene Knox, who also goes by Karla Moore, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Cincinnati, Ohio.
Karla is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Karla has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Karla Moore
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. DAYTON METROPOLITAN HOUSING AUTHORITY/Investment Related - No/400 Wayne Avenue Dayton, Ohio 45410/Dayton Metropolitan Housing Authority is a local housing agency providing affordable housing to low income families./Senior Manager of Asset Management/12.2004/160/160/Responsible for the management and operations of 2700 public housing units. SPINDERELLA 360 EXPERIENCE LLC POSITION: co owner NATURE: 360 photo booth INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 12/13/2022 ADDRESS: 112 Bethpolamy Ct, Dayton OH 45415, United States DESCRIPTION: This business will provide 360 photo booth experience at special events like parties, weddings, etc. WEALTHWAVE POSITION: NONE NATURE: Marketing INVESTMENT RELATED: Yes NUMBER OF HOURS: 40 SECURITIES TRADING HOURS: 2 START DATE: 07/01/2019 ADDRESS: 3030 Royal Blvd S, Suite 200, Alpharetta GA 30022, United States DESCRIPTION: WFG Co-Brand HEARTLAND INSTITUTE OF FINANCIAL EDUCATION POSITION: Certified Financial Educator NATURE: on the Certified Financial Educator Registry INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2025 ADDRESS: 8301 E Prentice Ave, Suite 312, Greenwood Village CO 80111, United States DESCRIPTION: I have not started anything with Heartland but I completed the CFEd training and passed the exam. I am in the process of getting listed on their Registry as a Certified Financial Educator.
CRS (Client Relationship Summary) - RIA
Click below to view Karla Irene Knox's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Karla Irene Knox'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
May 9, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 4357 Ferguson Dr Suite 180, Cincinnati, OH 45245RIA
BD
CRD#: 16164
Cincinnati, OH
Current
March 11, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 4357 Ferguson Dr Suite 180, Cincinnati, OH 45245RIA
BD
CRD#: 16164
Cincinnati, OH
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
Ohio(3/28/2022)
IAR
Ohio(5/9/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 3/11/2022
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.
