Amy Lynn Ungles

Transamerica Retirement Advisors, LLC

19 Years of Experience

Broker

View SEC Summary

Areas of Practice

Investment ManagementRetirement Planning

Transamerica Retirement Advisors, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

285 advisors

Number of Clients

212,858 clients

Average Client Portfolio

$76K average

Assets Under Management

$16.2B

Fee Structure

Minimum Investment:$10K

Financial Planning:Included in AUM fee

Location

Denver, CO

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History

Regulatory History

Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

Employment History

Current Registrations

Transamerica Investors Securities, LLCBroker

May 2022 - Present · 3 yrs 9 mos

Transamerica Retirement Advisors, LLC

May 2022 - Present · 3 yrs 9 mos

Transamerica Investors Securities, LLC

May 2022 - Present · 3 yrs 9 mos

Previous Registrations

Nationwide Investment Advisors, LLC

May 2016 - May 2022 · 6 yrs

Nationwide Investment Services CorporationBroker

April 2016 - May 2022 · 6 yrs 1 mo

Transamerica Investors Securities CorporationBroker

March 2015 - November 2015 · 8 mos

Gwfs Equities, INC.Broker

September 2009 - February 2015 · 5 yrs 5 mos

Woodbury Financial Services, INC.Broker

March 2007 - September 2009 · 2 yrs 6 mos

Janus Distributors, INC.Broker

May 1999 - February 2001 · 1 yr 9 mos

State Registrations12 states

ALCODEFLIAMINHNJNVNYUTWA

AdvisorBrokerBoth

Exams

No exam information available for this advisor.