Richard Dean Sandoval
Investment Adviser Representative at Transamerica Financial Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Richard Dean Sandoval is an investment adviser representative with Transamerica Financial Advisors, LLC in Orange, CA, where they have been registered since 2012. They have worked in the securities industry since 1994 and were previously registered with Investment Advisors International, Inc. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in California.
Office
Advisors at this office: 7
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- Richard Sandoval (SELF)Apr 1986 – no end date reportedOrange, CA
- World Financial GroupJun 2001 – no end date reportedOrange, CA
- Transamerica Financial Advisors, IncJan 2012 – no end date reportedOrange, CA
- American Funding CenterJul 2012 – no end date reportedRiverside, CA
- EPIC Estate PlansNov 2012 – Aug 2020Covina, CA
- Stewart ROTH OAK ConnectionDec 2017 – no end date reportedFountain Valley, CA
- Rental PropertyDec 1987 – no end date reportedOrange, CA
- Representative payee for my disabled sons Social SecurityFeb 2001 – no end date reportedOrange, CA
- Representative Payee for my disabled Son's In Home Supported SerFeb 2023 – no end date reportedOrange, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Transamerica Financial Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,109
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Philadelphia, PA
- SEC file number:
- 801-38618
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Transamerica Financial Advisors, LLC
Showing 12 of 1,109 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Richard Dean Sandoval has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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