Transamerica Financial Advisors, Inc

Investment Advisor
in Pasadena, CA

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About this Advisor

Ric Roman is a financial advisor who works out of Pasadena, California, who has 11 years of work experience. Roman works at Transamerica Financial Advisors, Inc. The advisor has gained experience at World Financial Group, International Technologies, Inc, World Group Securities, Investment Advisors International, Blue Tax Inc, Transamerica Financial Advisors, Inc, Debtmerica, Inc, Ds Services, Lyft, Inc, Uber Technologies and Debtmerica. Roman has Series 63 and Series 65 licenses, certifying them as both a securities agent and an investment advisor representative, and can advise clients in California and Texas. Transamerica Financial Advisors, Inc is a financial advisory business operating out of Pasadena, California. The investment advisory business has offices in 312 locations and a total of 1,271 advisors. It oversees $1 billion in total assets among its 45,703 customer accounts, placing it among the larger financial advisory firms in the nation by assets under management. The firm provides financial advice to seven charities and foundations. Of its 45,703 client accounts, just 1% are associated with high-net-worth individuals who have greater than $1 million in investable assets. Transamerica Financial Advisors, Inc offers a broad range of services, such as portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. Financial advisory fee schedules usually depend on which service is provided. However, fees charged by Transamerica Financial Advisors, Inc likely consist of some combination of asset-based and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

12 years

Services Offered

Portfolio management for individuals and/or small businesses, Portfolio management for businesses or institutional clients, Selection of other advisers, Educational seminars/workshops

Fee Structure

Percentage of Assets, Commissions



Office Location

2700 E. Foothill Blvd. Suite 300
Pasadena, CA 91107

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Transamerica Financial Advisors, Inc Brokerage Details

Total Assets Under Management


CA Average: $1,855,561,029
Total Number of Employees


CA Average: 62
Total Number of Accounts


CA Average: 2,474
Average Account Size


CA Average: $750,025

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Investment Advisory Services

  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses or institutional clients
  • Selection of other advisers
  • Educational seminars/workshops

Ric Roman Work History

Ric has 12 years of experience.

2018 - Present (2 years)


2017 - Present (3 years)

Lyft, Inc

2017 - Present (3 years)

Uber Technologies

2012 - Present (8 years)

Transamerica Financial Advisors, Inc

2008 - Present (12 years)

World Financial Group

2015 - 2015 (< 1 year)

Ds Services

2012 - 2014 (2 years)

Debtmerica, Inc

2010 - 2012 (2 years)

World Group Securities

2010 - 2012 (2 years)

Investment Advisors International

2010 - 2011 (1 year)

Blue Tax Inc

2009 - 2010 (1 year)

International Technologies, Inc


Ric Roman has no disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Transamerica Financial Advisors, Inc

John Belanger
Calabasas, CA
Avi Crane
Laguna Hills, CA
Richard Christman
Duluth, GA
Juan Aguilar
Renton, WA
Weijun Zhang
Plainsboro, NJ
Cydni Klauss
Portland, OR
Amanda Ryba
San Jose, CA
Litonya Allen
Portland, OR

This content was compiled from the SEC and FINRA.

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