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Thomas Robert Ellis

Investment Adviser Representative at TRANSAMERICA RETIREMENT ADVISORS, LLC

Surprise, AZCRD #6441376Dual-registered
No disclosures on record
Sourced from SEC IAPD & FINRA BrokerCheck
Years of Experience
11 yrs
States Registered
52 states
Exams Passed
6

Registrations & licenses

Registration type
Dual-registered
Registered in 52 states
AlabamaAlaskaArizonaArkansasCaliforniaColoradoConnecticutDelawareDistrict of ColumbiaFloridaGeorgiaHawaiiIdahoIllinoisIndianaIowaKansasKentuckyLouisianaMaineMarylandMassachusettsMichiganMinnesotaMississippiMissouriMontanaNebraskaNevadaNew HampshireNew JerseyNew MexicoNew YorkNorth CarolinaNorth DakotaOhioOklahomaOregonPennsylvaniaPuerto RicoRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVermontVirginiaWashingtonWest VirginiaWisconsinWyoming
Examinations passed
Series 65
Uniform Investment Adviser Law Examination
Passed 5/11/2016
Series 63
Uniform Securities Agent State Law Examination
Passed 12/4/2015
SIE
Securities Industry Essentials Examination
Passed 10/1/2018
Series 7
General Securities Representative Examination
Passed 3/13/2015
Series 24
General Securities Principal Examination
Passed 5/22/2023
Series 26
Investment Company Products/Variable Contracts Principal Examination
Passed 3/1/2017

Approximate fees

Estimated from the firm's Form ADV — individual terms may differ. Not a quote.

Primary fee model
Assets Under Management (AUM)
Account minimum: $2,000,000

Firm-stated minimum; may be waived at the firm's discretion.

Source

Transamerica Retirement Advisors, LLC Form ADV Part 2A (Item 5), most recent annual amendment.

Employment history

Registration history as reported to FINRA, most recent first.

TRANSAMERICA RETIREMENT ADVISORS, LLCCurrent
6/24/2025Surprise, AZ
TRANSAMERICA INVESTORS SECURITIES, LLCCurrent
6/23/2025Surprise, AZ
TRANSAMERICA FINANCIAL ADVISORS, LLC
5/11/20166/18/2025Surprise, AZ

Official records & sources

Data as of August 10, 2026 · Source: SEC IAPD & FINRA BrokerCheck

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About this profile

This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Thomas Robert Ellis 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.