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James Kent Treat

Transamerica Financial Advisors, Inc.

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About James Kent Treat

James Kent Treat is a financial advisor with over 19 years of experience in the financial industry. James is currently registered with Transamerica Financial Advisors, Inc. James is also registered as an Investment Advisor Representative in Oklahoma and Texas. James has Series 6, 63, 26, and 65 licenses. In addition to his financial advisory role, James has experience in insurance sales and referrals.

Firm Information

James Treat is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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James Treat’s Registration & Firm History

OK

01/06/2012 - Present

Transamerica Financial Advisors, Inc. (STILLWATER OK)

TX

09/21/2004 - 01/06/2012

WORLD GROUP SECURITIES, INC. (PLANO TX)

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Licenses & Designations

IA

Issued 02/23/2009

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/27/2004

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2009

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/20/2004

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for James Kent Treat.
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