Thomas
Ellis

Transamerica Financial Advisors, Inc

CRD#6441376
Investment Advisor
in Surprise , AZ

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About this Advisor

Thomas Ellis is a financial advisor operating out of Surprise , Arizona with 7 years of industry experience. Ellis works at Transamerica Financial Advisors, Inc. Throughout their career, they have worked at Transamerica Financial Advisors, Inc, World Financial Group, Inc, Fun.Com, Erbert And Gerberts Sandwhich Shop, Uber Technologies, Lyft, Inc and Postmates Inc. Ellis holds Series 65 and Series 63 licenses, which qualify them as both a securities agent and an investment advisor representative, and is approved to work in Arizona, California, Georgia, Nevada and North Carolina. Transamerica Financial Advisors, Inc is a firm operating out of Saint Petersburg, FL. It has offices in 286 locations and a total of 1,235 people on staff. It administers $2 billion in assets under management between its 59,659 client accounts, placing it among the largest firms in the country by assets under management. The firm advises 18 charities and foundations. Of its 59,659 accounts, just 2% are held by high-net-worth individuals who have more than $1 million in assets. Transamerica Financial Advisors, Inc provides a diverse set of services, including portfolio management for individuals and small businesses, portfolio management for institutional clients, selection of other advisers and educational seminars. A financial advisor's fee schedules typically are based on which service is offered. Fees billed by Transamerica Financial Advisors, Inc typically consist of asset-based fees.

Certifications and Registrations

Series 65, Series 63

Years Registered*

7 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

Office Location

Surprise , AZ

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Transamerica Financial Advisors, Inc Brokerage Details

Total Assets Under Management

$1,815,425,709

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

1,235

AZ Average: 62
Total Number of Accounts

59,659

AZ Average: 2,474
Average Account Size

$30,430

AZ Average: $750,025

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

Thomas Ellis Work History

Thomas has been registered as a financial advisor for 7 years.*

2018 - Present (6 years)

Lyft, Inc

2018 - Present (6 years)

Postmates Inc

2016 - Present (8 years)

Uber Technologies

2015 - Present (9 years)

Transamerica Financial Advisors, Inc

2014 - Present (10 years)

World Financial Group, Inc

2013 - 2014 (1 year)

Fun.Com

2009 - 2013 (4 years)

Erbert And Gerberts Sandwhich Shop

*The number of years registered in this profile is calculated by taking the year of an advisor's first active registration and subtracting it from the current year.

Disclosures

Please visit the SEC profile of Thomas Ellis to learn whether or not they have any disclosures. It is important to do your due diligence when looking for an advisor.

Financial Advisors at Transamerica Financial Advisors, Inc

Julie Sun
Bellevue, WA
Jjean-Claude Baldivino
Rancho Cucamonga, CA
Tarl Reynoso
Orem, UT
David Winn
Bridgeport, MI
Austin Hogan
Cincinnati, OH
Brian Schiavo
Allentown, PA
Chad Tacia
San Antonio, TX
Qi Dong
Plano, TX

The content in this profile was updated by SmartAsset on 4/16/2023. All advisor details come from publicly available data, and we cannot guarantee the accuracy of the content. We are unable to make individual profile updates. If you want your profile removed temporarily or permanently, please contact profile-compliance@smartasset.com.

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