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Thomas Robert Ellis

Transamerica Financial Advisors, Inc.

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About Thomas Robert Ellis

Thomas Robert Ellis is a financial advisor with Transamerica Financial Advisors, Inc. based in Cedar Rapids, Iowa. He has been in the industry since October 29, 2015 and holds the Series 7, Series 63, Series 65, Series 24, Series 26 and SIE licenses. His specialties include portfolio management for individuals and selection of other advisors. Thomas Robert Ellis is registered in Arizona and Iowa.

Firm Information

Thomas Ellis 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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Thomas Ellis’s Registration & Firm History

IA

12/11/2023 - Present

Transamerica Financial Advisors, Inc. (Cedar Rapids IA)

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Licenses & Designations

IA

Issued 05/11/2016

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 12/04/2015

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/22/2023

Series 24 - General Securities Principal Examination

BC

Issued 03/01/2017

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/13/2015

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Thomas Robert Ellis.
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