Transamerica Financial Advisors, Inc

Investment Advisor
in Pasadena, CA

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About this Advisor

Ric Roman is an advisor based in Pasadena, California. Currently a registered advisor with Transamerica Financial Advisors, Inc, Roman has 10 years of experience as an investment advisor. Roman maintains Series 63 and Series 65 licenses, qualifying the advisor as both a securities agent and an investment advisor representative. Roman is able to serve investors based out of California and Texas. During their career, Roman has held roles at All In Peolple, Inc, World Financial Group, International Technologies, Inc, World Group Securities, Investment Advisors International, Ds Services, Blue Tax Inc, Transamerica Financial Advisors, Inc, Debtmerica, Inc and Debtmerica. Transamerica Financial Advisors, Inc is headquartered in Pasadena, California, and has 304 additional locations in the nation. As an advisor firm, Transamerica Financial Advisors, Inc manages $973 million in assets across 22,673 accounts and employs more than 1,274 people. The firm's total assets under management makes it one of the bigger financial advisory firms in the country. The firm manages 8,187 accounts on a discretionary basis, meaning the advisor makes all of the buying and selling decisions on the client's behalf. Currently 2% of the firm's clients are high-net-worth individuals, meaning they have more than $1 million in investable assets. Transamerica Financial Advisors, Inc can offer portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. The firm may charge clients asset-based, fixed and commission-based fees.

Certifications and Registrations

Series 63, Series 65

Years of Experience

10 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 10 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

2008 - 2008 (< 1 year)

All In Peolple, Inc


Ric Roman has disclosures.

Please visit their SEC profile for more details.

Financial Advisors at Transamerica Financial Advisors, Inc

Leonard Taylor
Mesa, AZ
Andrew Kom
Burlingame, CA
Aleece Ackerman
Duluth, GA
Lakshmi Goriparthi
Pleasanton, CA
Ric Roman
Pasadena, CA
Nicholas Lancaster
Temecula, CA
Virginia Mondonedo
Laguna Hills, CA
Ryan Wagner
Dayton, OH

This content was compiled from the SEC and FINRA.

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