Stockton, CA Grand Canal Blvd. Office
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Transamerica Financial Advisors
Enterprise
Firm-wide stats for Transamerica Financial Advisors
About
Transamerica Financial Advisors serves a broad client base that includes individual investors (including high‑net‑worth clients), pension and profit‑sharing plans, trusts, estates, charitable organizations, and corporations. The firm offers both advisory and broker‑dealer services: fee‑based wrap programs and model portfolios (TFA365, Transamerica ONE, Transamerica ALPHA), access to third‑party money managers, and commission‑based insurance and brokerage products.
TFA delivers advice through a mix of proprietary model suites (including Transamerica I‑Series) and a range of third‑party model managers, with program choices that can be discretionary (managed on clients’ behalf) or non‑discretionary depending on the platform and manager. As of December 31, 2025, TFA reported roughly $1.66 billion in discretionary AUM and $443.5 million in non‑discretionary AUM, and client relationships are reviewed at least annually with program‑specific trading and custodial arrangements.
Compared with many large enterprise advisers, TFA is distinctive in operating concurrently as a registered broker‑dealer and as an RIA and in maintaining affiliated retirement and recordkeeping entities (e.g., Transamerica Retirement Solutions and related affiliates) that support plan clients. The firm also offers securities‑backed lending and a bank deposit sweep as platform features with disclosed revenue‑sharing arrangements, and it has been subject to SEC and FINRA enforcement settlements in the past decade related to share‑class disclosures, model issues, and supervisory matters.
Based on Transamerica Financial Advisors
Expertise
Based on Transamerica Financial Advisors
Location
2027 Grand Canal Blvd. #24
Stockton CA 95207
Advisors at this office
3
Advisors at this office
Adam M
Series 63, Series 65
Stockton, CA
Transamerica Financial Advisors
Adam Moskowitz is a financial advisor with Transamerica Financial Advisors in Stockton, CA, holding Series 63 and Series 65 licenses and possessing 19 years of industry experience. In addition to his advisory role, he serves as president of the Kiwanis Club of Stockton and is involved with several professional and community organizations, including the Silver Lake Chamber of Commerce and The Loudest Wavemakers, Inc. Transamerica Financial Advisors serves a diverse client base that includes individuals, high-net-worth clients, retirement plans, trusts, and charitable organizations. The firm offers both advisory and broker-dealer services, providing proprietary and third-party model portfolios with discretionary and non-discretionary program options.
Richard C
Series 63, Series 65
Stockton, CA
Transamerica Financial Advisors
Richard Cutler is a financial advisor with Transamerica Financial Advisors in Stockton, CA, holding Series 63 and Series 65 licenses and bringing 39 years of industry experience. His work history includes roles at Champion Health, Inc., WealthWave, American Gateway Mortgage & Realty, and World Financial Group, alongside his tenure at Transamerica Financial Advisors. Outside of traditional advisory work, he is involved in health insurance supplement sales and mortgage loan origination. Transamerica Financial Advisors serves a diverse client base including individual investors, retirement plans, trusts, and charitable organizations. The firm utilizes model portfolios and third-party managers for investment management and offers an integrated retirement plan ecosystem supported by multiple advisory platforms.
Richard H
Series 63, Series 65
Stockton, CA
Transamerica Financial Advisors
Richard Holmes is a financial advisor with Transamerica Financial Advisors, holding Series 63 and Series 65 credentials and over 31 years of industry experience. He has been with Transamerica Financial Advisors since 2012 and has held roles at several other firms, including American Pacific Mortgage Corporation and WealthWave. Holmes is involved in several business ventures outside traditional advisory work, such as estate planning education with InheritGuard, LLC, and college loan reduction services through College Loan Freedom. Transamerica Financial Advisors serves a diverse client base that includes individual investors, pension plans, trusts, and corporations. The firm provides a combination of advisory and broker-dealer services, offering proprietary and third-party model portfolios with discretionary and non-discretionary program options.
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