Investment Adviser Public Disclosure SECNASAASECNASAASECNASAA
  • Individual
  • Firm
at
in
in
When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
< Back to Results
Detailed Report
AARON MICHAEL CASEY
CRD#: 5233238
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 3550 STEVENS CREEK BLVD
Suite 308
SAN JOSE, CA 95117
Registration History
200620082010201220142016201820202022202420262 FIRMS2012 - Present (13 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2006 - 2012 (5 years)IAINVESTMENT ADVISORS INTERNATIO... (CRD# 139233)2008 - 2012 (3 years)
License(s)

State Registrations

B
California 1/6/2012
B
Texas 3/6/2024
IA
California 1/6/2012
IA
Texas 3/6/2024
B
Minnesota 8/2/2019

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)
3550 STEVENS CREEK BLVD Suite 308, SAN JOSE, CA 95117
Registered with this firm since 1/6/2012
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
3550 STEVENS CREEK BLVD Suite 308, SAN JOSE, CA 95117
Registered with this firm since 1/6/2012
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/24/2008 - 01/06/2012 INVESTMENT ADVISORS INTERNATIONAL, INC. (CRD#:139233) SAN JOSE, CA
B
 11/20/2006 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) SAN JOSE, CA
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.