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Investment Adviser Firm Summary

TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD# 16164 / SEC# 8-33429, 801-38618)
Alternate Names: IDEX DISTRIBUTORS, INC. , INTERSECURITIES, INC. , PIONEER WESTERN DISTRIBUTORS, INC. , TRANSAMERICA FINANCIAL ADVISORS, INC , TRANSAMERICA FINANCIAL ADVISORS, INC.

The adviser's REGISTRATION status is listed below.


This adviser is also a brokerage firm

REGISTRATION STATUS


SEC / JURISDICTION REGISTRATION STATUS _ EFFECTIVE DATE
SEC Approved 05/16/1991

NOTICE FILINGS


Investment adviser firms registered with the SEC may be required to provide to state securities authorities a copy of their Form ADV and any accompanying amendments filed with the SEC. These filings are called "notice filings". Below are the states with which the firm you selected makes its notice filings. Also listed is the date the firm first became notice filed or registered in each state.


JURISDICTION EFFECTIVE DATE
Alabama 01/02/1997
Alaska 09/29/1997
Arizona 04/11/2005
Arkansas 03/13/1998
California 07/08/1997
Colorado 01/01/1999
Connecticut 12/23/1997
Delaware 05/30/2003
District of Columbia 08/05/1996
Florida 07/30/1991
Georgia 08/07/1991
Hawaii 08/05/1998
Idaho 01/08/1992
Illinois 10/01/1991
Indiana 02/28/2001
Iowa 01/01/1999
Kansas 12/15/1997
Kentucky 04/11/2002
Louisiana 10/09/2001
Maine 10/30/1991
Maryland 10/01/1991
Massachusetts 08/21/2009
Michigan 08/21/2009
Minnesota 05/12/2000
Mississippi 10/10/1997
Missouri 08/15/1991
Montana 01/08/1998
Nebraska 09/11/1997
Nevada 01/02/1997
New Hampshire 01/13/1992
New Jersey 11/04/1994
New Mexico 02/28/1992
New York 03/14/2003
North Carolina 02/20/2001
North Dakota 05/15/2000
Ohio 08/09/1999
Oklahoma 01/01/1998
Oregon 10/23/2002
Pennsylvania 09/05/2002
Puerto Rico 03/31/2004
Rhode Island 06/26/1998
South Carolina 07/29/1991
South Dakota 07/31/1997
Tennessee 06/02/2003
Texas 02/25/1985
Utah 10/15/1996
Vermont 12/06/1994
Virgin Islands 07/07/2010
Virginia 10/01/1991
Washington 02/04/1992
West Virginia 02/11/1998
Wisconsin 02/27/1995

EXEMPT REPORTING ADVISERS


Exempt Reporting Advisers ("ERA") are investment advisers that are not required to register as investment advisers because they rely on certain exemptions from registration under sections 203(l) and 203(m) of the Investment Advisers Act of 1940 and related rules. Certain state securities regulatory authorities have similar exemptions based on state statutes or regulations. An ERA is required to file a report using Form ADV, but does not complete all items contained in Form ADV that a registered adviser must complete. Other state securities regulatory authorities require an ERA to register as an investment adviser and file a complete Form ADV. Below are the regulators with which an ERA report is filed.


Not Currently an Exempt Reporting Adviser