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Detailed Report
RICHARD WILLIAM HOLMES
CRD#: 2600573
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 149 W. YOKUTS AVE.
SUITE B
STOCKTON, CA 95207
Registration History
1995200020052010201520202025IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2018 - Present (6 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2012 - Present (13 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2002 - 2012 (9 years)BWMA SECURITIES, INC. (CRD# 32625)1998 - 2002 (4 years)BPFS INVESTMENTS INC. (CRD# 10111)1995 - 1998 (2 years)
Disclosure(s)
View By:
12/1/2010
Judgment / Lien
License(s)

State Registrations

B
California 1/6/2012
IA
California 8/23/2018

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
149 W. YOKUTS AVE. SUITE B, STOCKTON, CA 95207
Registered with this firm since 8/23/2018
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
149 W. YOKUTS AVE. SUITE B, STOCKTON, CA 95207
Registered with this firm since 1/6/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
B
 04/12/2002 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) FAIRFIELD, CA
B
 03/06/1998 - 04/12/2002 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
B
 04/05/1995 - 02/17/1998 PFS INVESTMENTS INC. (CRD#:10111) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.