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Detailed Report
ADAM SMITH HANCOCK
CRD#: 5634867
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 17671 Cowan
Irvine, CA 92614
Registration History
201020122014201620182020202220242026IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2015 - Present (9 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2012 - Present (13 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2009 - 2012 (2 years)
License(s)

State Registrations

B
California 1/6/2012
B
Pennsylvania 1/28/2021
IA
California 6/19/2015
B
Texas 4/26/2021
B
Colorado 7/6/2022
IA
Texas 4/27/2021
B
Florida 6/9/2020
B
Virginia 6/9/2020
B
Massachusetts 5/31/2023
B
Washington 5/28/2021
B
North Carolina 5/3/2021
B
Wyoming 6/24/2021

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)
17671 Cowan, Irvine, CA 92614
Registered with this firm since 6/19/2015
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
17671 Cowan, Irvine, CA 92614
Registered with this firm since 1/6/2012
Previous Registration(s)
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B
 02/16/2009 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) BURBANK, 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.