CRD #16164 · FINRA BrokerCheck + SEC IAPD

Transamerica Financial Advisors, LLC

According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Transamerica Financial Advisors, LLC ranks #278 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #6 of 81 on the same disclosure sort used on the state browse page. Transamerica Financial Advisors, LLC carries 22 BrokerCheck disclosures across 343 branch offices - light load for a large firm, earning a Grade B.

Verify on FINRA BrokerCheck → Browse all firms
Grade B
Safety grade
343
branch offices
22
disclosures
#278 of 20,055
disclosure rank · graded

FINRA BrokerCheck disclosure docket

CRD record 16164 Transamerica Financial Advisors, LLC

Transamerica Financial Advisors, LLC · Grade B · 22 disc · 0.06/office · Large firm

  • CRD 16164
  • GRADE B
  • DISC 22
  • REG 19
  • ARB 3
  • CIV 0
  • BRANCH 343
  • PER-OFF 0.06
  • RANK #278 of 20,055
  • BOOK Large firm

Intensity peers

Nearest same-size peer: Centaurus Financial, Inc. (0.07 disc/office)

Centaurus Financial, Inc.0.07Northern Trust Securiti…0.06Hornor, Townsend & Kent…0.06Transamerica Financ… (this)0.06
Disclosures per office among large firm peers (lower is cleaner)

Transamerica Financial Advisors, LLC ranks #278 of 20,055 by disclosure count among graded broker-dealers; light load at 0.06 disclosures per office. Verify on FINRA BrokerCheck →

PlainAdvisorCheck rating 4/5 - an editorial, size-normalized signal, not a regulatory determination. Always verify the underlying record on FINRA BrokerCheck before engaging an advisor.

Data updated July 2026

Branch offices

343 offices

FINRA: Large firm

Total disclosures

22 events

On FINRA BrokerCheck

Regulatory events

19 actions

86% of all disclosures

Disclosures per office

0.06 per office

22 ÷ 343 offices

Transamerica Financial Advisors, LLC vs. every disclosing firm

Disclosures per branch office, the size-normalized signal behind the grade (lower is cleaner)

0 Among the cleanest for its size a cleaner per-office record than 91% of 1,251 disclosing firms

0–0: 314 disclosing firms (25%). This entry sits in this band. 0–1: 159 disclosing firms (13%). Above this entry. 1–1: 301 disclosing firms (24%). Above this entry. 1–1: 40 disclosing firms (3%). Above this entry. 1–1: 140 disclosing firms (11%). Above this entry. 1–2: 32 disclosing firms (3%). Above this entry. 2–2: 65 disclosing firms (5%). Above this entry. 2–2: 9 disclosing firms (1%). Above this entry. 2–2: 72 disclosing firms (6%). Above this entry. 2–3: 14 disclosing firms (1%). Above this entry. 3–3: 24 disclosing firms (2%). Above this entry. 3–3: 6 disclosing firms (0%). Above this entry. 3–3: 32 disclosing firms (3%). Above this entry. 3–4: 5 disclosing firms (0%). Above this entry. 4–4: 10 disclosing firms (1%). Above this entry. 4–4: 3 disclosing firms (0%). Above this entry. 4–4: 9 disclosing firms (1%). Above this entry. 4–5: 3 disclosing firms (0%). Above this entry. 5–5: 11 disclosing firms (1%). Above this entry. 5–5: 2 disclosing firms (0%). Above this entry. This firm 0 5 every disclosing firm, by disclosures per office, bucketed by value

Each bar is a band; taller bars hold more disclosing firms. The dashed line + filled bar mark this entry. Hover or tap any bar for its full count, share, and where it sits relative to this entry.

Source FINRA BrokerCheck · SEC IAPD · 2026

Disclosure Breakdown

Disclosure Type Count
Regulatory Events 19
Arbitrations 3
Civil Events 0
Total 22

Counts for Transamerica Financial Advisors, LLC reflect events reported on FINRA BrokerCheck as of July 2026. Disclosures are reported events, not proven violations.

Disclosure category share

Regulatory 19 Arbitration 3 Civil 0

Firm Details

Firm Size
Large
Scope
ACTIVE
Location
Philadelphia, PA
CRD Number
16164

Lower disclosures per office

Transamerica Financial Advisors, LLC in the heavier-disclosure third

Transamerica Financial Advisors, LLC carries 22 BrokerCheck disclosures across 343 branch offices - a heavier-third raw book among graded firms (#278 of 20,055). Regulator-initiated events are 86% of the book (19 regulatory / 3 arbitration / 0 civil).

Transamerica Financial Advisors, LLC runs 0.06 disclosures per branch office (cleaner than 91% of disclosing multi-office firms). Verify on FINRA BrokerCheck ↗ · how disclosures are interpreted.

Educational summary of Transamerica Financial Advisors, LLC's disclosure book - not financial advice. Disclosures are reported events, not proven violations; consult a licensed advisor before decisions.

Pennsylvania cohort · 3.45× state average

Transamerica Financial Advisors, LLC sits above the Pennsylvania disclosure average

Transamerica Financial Advisors, LLC reports 22 BrokerCheck disclosures, 3.45× the Pennsylvania average of 6.4 across 81 graded firms with a principal-office state on file.

In Pennsylvania, 39 firms carry Grade A and 3 carry Grade F on the same size-normalized scale.

Average uses graded firms with a principal-office state on file, not a full 50-state census. Open the Pennsylvania state book →

Source: FINRA BrokerCheck & SEC IAPD Public Disclosure Data

Frequently Asked Questions

Where does Transamerica Financial Advisors, LLC sit among graded broker-dealers by disclosure count?
According to FINRA BrokerCheck disclosure totals used on PlainAdvisorCheck graded firms, Transamerica Financial Advisors, LLC ranks #278 of 20,055 by disclosure count (most disclosures first). Among firms registered in PA, it ranks #6 of 81 on the same disclosure sort used on the state browse page. Ordinals match the disclosure-first sort documented on our methodology corpus-placement section. A high disclosure rank is not automatically a finding of wrongdoing; larger firms accumulate more reported events. Always review the underlying FINRA BrokerCheck detail before engaging.
What does a grade of B mean for Transamerica Financial Advisors, LLC?
A grade of B reflects Transamerica Financial Advisors, LLC's disclosure intensity, its weighted disclosure load per branch office, ranked against other firms of a similar size (large firm). It carries 22 total disclosures across 343 branch offices. Review the specific disclosures on FINRA BrokerCheck before engaging.
How many FINRA disclosures does Transamerica Financial Advisors, LLC have?
Transamerica Financial Advisors, LLC has 22 total FINRA disclosures, including 19 regulatory events, 3 arbitrations. Disclosures reflect reported events on FINRA BrokerCheck and do not necessarily indicate proven violations.
How big is Transamerica Financial Advisors, LLC?
Transamerica Financial Advisors, LLC operates 343 branch offices and is classified by FINRA as a large firm, registered in PA (Large firm). FINRA BrokerCheck publishes branch-office counts but not a firmwide registered-representative headcount, so PlainAdvisorCheck measures firm size by branch footprint.
Where can I verify Transamerica Financial Advisors, LLC's disciplinary record?
You can verify Transamerica Financial Advisors, LLC's full disciplinary history on FINRA BrokerCheck at brokercheck.finra.org using CRD number 16164. BrokerCheck provides detailed information about individual registered representatives, complaints, and regulatory actions.
What is a FINRA disclosure?
A FINRA disclosure is a reported event (regulatory, arbitration, or civil). Transamerica Financial Advisors, LLC's 22 events mean reading the underlying BrokerCheck detail matters more than the raw count alone.
Should I avoid Transamerica Financial Advisors, LLC because of its disclosures?
Not necessarily. Larger firms accumulate more disclosures simply because they operate more offices, so PlainAdvisorCheck grades each firm against same-size peers rather than on raw counts. Transamerica Financial Advisors, LLC carries 22 disclosures across 343 branch offices (about 0.06 per office). Review the nature of individual disclosures on FINRA BrokerCheck before making a decision.

Nationwide peers by disclosures or branches

Two PlainAdvisorCheck-derived peer sets for Transamerica Financial Advisors, LLC, both outside PA so the neighborhoods are not state containment (the same-size intensity list below stays size-tier local).

Similar disclosure totals

Nearest cross-state graded firms by BrokerCheck disclosure count (22 here).

Speedtrader, Inc · NY 22 disc. Consolidated Trading LLC · IL 22 disc. Sumo Capital, LLC · IL 22 disc. TD Securities (USA) LLC · NY 22 disc.

Read with this firm

  • Centaurus Financial, Inc. (CA) - 0.07 disclosures/office, nearest large firm peer to Transamerica Financial Advisors, LLC's 0.06
  • Northern Trust Securities, Inc. (IL) - 0.06 disclosures/office, nearest large firm peer to Transamerica Financial Advisors, LLC's 0.06
  • Hornor, Townsend & Kent, LLC (PA) - 0.06 disclosures/office, nearest large firm peer to Transamerica Financial Advisors, LLC's 0.06
  • Firms in PA - state roster that includes Transamerica Financial Advisors, LLC's registration home.
  • How to Vet a Financial Advisor - Due diligence checklist when reviewing a Grade B firm like Transamerica Financial Advisors, LLC.
  • Reading BrokerCheck Reports - How Transamerica Financial Advisors, LLC's 0.06 disclosures-per-office figure is derived.
  • Most Disclosures - Raw disclosure-volume leaders for context next to Transamerica Financial Advisors, LLC.
  • Compare firms - put Transamerica Financial Advisors, LLC next to peers on grade and footprint.

Read our methodology - heavier-disclosure firms: how raw counts and per-office intensity are graded.

Retrieved and formatted by PlainAdvisorCheck from FINRA BrokerCheck public records.