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Rocky Darin Pavone

Transamerica Financial Advisors, Inc.

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About Rocky Darin Pavone

Rocky Darin Pavone is a financial advisor who has been in the industry since 1996. Rocky has a variety of experience working with different firms including Transamerica Financial Advisors, Inc. Rocky is currently registered in California and Utah. Rocky is also licensed to provide investment advice. Rocky is affiliated with Transamerica Financial Advisors, Inc., which is a large financial firm. Rocky's clients consist primarily of high net worth individuals, individuals other than high net worth, corporations or other businesses, charitable organizations, pension and profit sharing plans, and other.

Firm Information

Rocky Pavone 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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Rocky Pavone’s Registration & Firm History

CA

12/06/2021 - Present

Transamerica Financial Advisors, Inc. (Buena Park CA)

CA

01/06/2012 - 12/17/2019

TRANSAMERICA FINANCIAL ADVISORS, INC (CERRITOS CA)

CA

04/12/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (LONG BEACH CA)

GA

10/12/1994 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

BC

Issued 09/06/1994

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/30/1997

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/11/1994

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Rocky Darin Pavone. Review regulatory record here.
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