Nicholas Alexander Roddy
Investment adviser representative at Transamerica Financial Advisors, LLC
13 yearsExperience
1 stateRegistered in
$2.1BFirm assets
35 yearsFirm in business
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How the firm charges
Fee types in the public filing. This advisor may not use all of them.
Percentage of assets
Services the firm offers
These describe the firm as a whole, not only this advisor.
- Portfolio management
Experience
13 years in the industry.
- Transamerica Financial Advisors, IncFeb 2023 to now
- Transamerica Agency NetworkOct 2022 to now
- UfsOct 2022 to now
- UnemployedFeb 2022 to Oct 2022
- Northwestern Mutual Wealth Management CompanyFeb 2020 to Feb 2022
- Pavement Maintenance CompanySep 2018 to Jun 2021
- Northwestern Mutual Investment Services LLCJul 2018 to Feb 2022
- Northwestern Mutual Life Insurance CompanyJul 2018 to Feb 2022
- Brenamen Insurance and Fin SvcsMay 2013 to Jun 2018
Exams passed
- Series 63 · Uniform Securities Agent State Law2018
- Series 65 · Uniform Investment Adviser Law2025
State registrations
Registered as an investment adviser representative in 1 state (OH).
Transamerica Financial Advisors, LLC
$2.1BAssets managed
42,735Clients
1,121Advisers
35 yearsIn business
Official records
SEC data as of Sep 29, 2026. Registrations and firm details can change; confirm current status on the SEC's Investment Adviser Public Disclosure (opens in a new tab) site.
- Individual CRD
- 6950792
- Firm CRD
- 16164