Chief Compliance Officer

0001567619-20-010233.txt : 20200515 0001567619-20-010233.hdr.sgml : 20200515 20200515073328 ACCESSION NUMBER: 0001567619-20-010233 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Transamerica Financial Advisors, Inc. CENTRAL INDEX KEY: 0001502149 IRS NUMBER: 592476008 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14018 FILM NUMBER: 20880597 BUSINESS ADDRESS: STREET 1: 570 CARILLON PARKWAY CITY: ST. PETERSBURG STATE: FL ZIP: 33716 BUSINESS PHONE: 727-299-1800 MAIL ADDRESS: STREET 1: P.O. BOX 5068 CITY: CLEARWATER STATE: FL ZIP: 33758 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001502149 XXXXXXXX 03-31-2020 03-31-2020 Transamerica Financial Advisors, Inc.

P.O. BOX 5068 CLEARWATER FL 33758

13F COMBINATION REPORT 028-14018 0001633901 028-16706 Betterment LLC N Brad Mullikin Chief Compliance Officer 770-248-3491 /s/ Brad Mullikin John's Creek GA 05-15-2020 1 120 5611 false 1 0000099189 028-00136 TRANSAMERICA CORP INFORMATION TABLE 2 form13fInfoTable.xml ABBOTT LABS COM 002824100 2 14 SH SOLE 0 0 14 AMERICAN TOWER CORP NEW COM 03027X100 1 1 SH SOLE 0 0 1 AT&T INC COM 00206R102 1 5 SH SOLE 0 0 5 BIOGEN INC COM 09062X103 2 4 SH SOLE 0 0 4 BRISTOL-MYERS SQUIBB CO COM 110122108 1 3 SH SOLE 0 0 3 CLOROX CO DEL COM 189054109 1 4 SH SOLE 0 0 4 COSTCO WHSL CORP NEW COM 22160K105 1 2 SH SOLE 0 0 2 CVS HEALTH CORP COM 126650100 1 8 SH SOLE 0 0 8 DELL TECHNOLOGIES INC CL C 24703L202 1 22 SH SOLE 0 0 22 DOLLAR TREE INC COM 256746108 1 13 SH SOLE 0 0 13 DUKE ENERGY CORP NEW COM NEW 26441C204 2 13 SH SOLE 0 0 13 EBAY INC COM 278642103 1 32 SH SOLE 0 0 32 EMERSON ELEC CO COM 291011104 1 15 SH SOLE 0 0 15 EQUIFAX INC COM 294429105 1 8 SH SOLE 0 0 8 ESSEX PPTY TR INC COM 297178105 1 4 SH SOLE 0 0 4 FASTENAL CO COM 311900104 1 31 SH SOLE 0 0 31 FEDERAL REALTY INVT TR SH BEN INT NEW 313747206 1 10 SH SOLE 0 0 10 FIRST TR BICK INDEX FD COM SH 33733H107 9 406 SH SOLE 0 0 406 FIRST TR EXCHANGE TRADED ALP CHINA ALPHADEX 33737J141 9 372 SH SOLE 0 0 372 FIRST TR EXCHANGE TRADED ALP SWITZLND ALPHA 33737J232 9 195 SH SOLE 0 0 195 FIRST TR EXCHANGE TRADED ALP GERMANY ALPHA 33737J190 9 267 SH SOLE 0 0 267 FIRST TR EXCHANGE TRADED FD CHINDIA ETF 33733A102 9 263 SH SOLE 0 0 263 FIRST TR EXCHANGE TRADED FD HLTH CARE ALPH 33734X143 111 1494 SH SOLE 0 0 1494 FIRST TR EXCHANGE TRADED FD INDLS PROD DUR 33734X150 2 45 SH SOLE 0 0 45 FIRST TR EXCHANGE TRADED FD TECH ALPHADEX 33734X176 107 1801 SH SOLE 0 0 1801 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 110 4468 SH SOLE 0 0 4468 FIRST TR EXCHANGE-TRADED ALP MID CP GR ALPH 33737M102 60 1618 SH SOLE 0 0 1618 FIRST TR EXCHANGE-TRADED ALP SML CP GRW ALP 33737M300 1 25 SH SOLE 0 0 25 FIRST TR EXCHANGE-TRADED FD DJ INTERNT IDX 33733E302 111 890 SH SOLE 0 0 890 FIRST TR EXCHANGE-TRADED FD NASDAQ BK ETF 33738R860 1 58 SH SOLE 0 0 58 FIRST TR LARGE CAP GROWTH A COM SH 33735K108 61 1013 SH SOLE 0 0 1013 FIRST TR LRGE CP CORE ALPHA COM SH 33734K109 60 1241 SH SOLE 0 0 1241 FIRST TR MID CAP CORE ALPHAD COM SH 33735B108 1 17 SH SOLE 0 0 17 FIRST TR NASDAQ-100 TECH IND SH 337345102 111 1304 SH SOLE 0 0 1304 FISERV INC COM 337738108 1 10 SH SOLE 0 0 10 GENERAL DYNAMICS CORP COM 369550108 1 7 SH SOLE 0 0 7 GOLDMAN SACHS GROUP INC COM 38141G104 1 5 SH SOLE 0 0 5 HARLEY DAVIDSON INC COM 412822108 1 31 SH SOLE 0 0 31 HONEYWELL INTL INC COM 438516106 1 7 SH SOLE 0 0 7 HUMANA INC COM 444859102 1 4 SH SOLE 0 0 4 HUNT J B TRANS SVCS INC COM 445658107 1 10 SH SOLE 0 0 10 HUNTINGTON BANCSHARES INC COM 446150104 1 76 SH SOLE 0 0 76 IDEXX LABS INC COM 45168D104 1 1 SH SOLE 0 0 1 INTUIT COM 461202103 1 1 SH SOLE 0 0 1 INVESCO CURRENCYSHARES SWISS SWISS FRANC 46138R108 8 81 SH SOLE 0 0 81 INVESCO EXCHANGE TRADED FD T S&P500 EQL WGT 46137V357 2 14 SH SOLE 0 0 14 INVESCO EXCHANGE TRADED FD T DWA TECHNOLOGY 46137V811 121 1790 SH SOLE 0 0 1790 INVESCO EXCHANGE TRADED FD T DWA INDLS MUMT 46137V845 113 2029 SH SOLE 0 0 2029 INVESCO EXCHANGE TRADED FD T DWA HEALTHCARE 46137V852 129 1508 SH SOLE 0 0 1508 INVESCO EXCHANGE TRADED FD T DWA FINL MUMT 46137V860 105 3609 SH SOLE 0 0 3609 INVESCO EXCHANGE-TRADED FD T S&P INTL LOW 46138E230 1 12 SH SOLE 0 0 12 INVESCO EXCHANGE-TRADED FD T S&P EMRNG MKTS 46138E297 1 15 SH SOLE 0 0 15 INVESCO EXCHANGE-TRADED FD T S&P500 LOW VOL 46138E354 185 3928 SH SOLE 0 0 3928 INVESCO EXCHANGE-TRADED FD T NATL AMT MUNI 46138E537 25 935 SH SOLE 0 0 935 INVESCO QQQ TR UNIT SER 1 46090E103 2 9 SH SOLE 0 0 9 ISHARES INC MSCI BRAZIL ETF 464286400 1 6 SH SOLE 0 0 6 ISHARES INC MIN VOL EMRG MKT 464286533 14 296 SH SOLE 0 0 296 ISHARES INC MSCI TAIWAN ETF 46434G772 1 6 SH SOLE 0 0 6 ISHARES INC MSCI RUSSIA ETF 46434G798 1 6 SH SOLE 0 0 6 ISHARES SILVER TRUST ISHARES 46428Q109 3 225 SH SOLE 0 0 225 ISHARES TR TIPS BD ETF 464287176 210 1773 SH SOLE 0 0 1773 ISHARES TR CORE US AGGBD ET 464287226 72 620 SH SOLE 0 0 620 ISHARES TR 20 YR TR BD ETF 464287432 29 172 SH SOLE 0 0 172 ISHARES TR BARCLAYS 7 10 YR 464287440 48 387 SH SOLE 0 0 387 ISHARES TR RUS MID CAP ETF 464287499 258 5964 SH SOLE 0 0 5964 ISHARES TR RUS 1000 GRW ETF 464287614 9 60 SH SOLE 0 0 60 ISHARES TR CORE S&P SCP ETF 464287804 162 2871 SH SOLE 0 0 2871 ISHARES TR DOW JONES US ETF 464287846 1 2 SH SOLE 0 0 2 ISHARES TR NEW ZEALAND ETF 464289123 1 5 SH SOLE 0 0 5 ISHARES TR MIN VOL EAFE ETF 46429B689 15 232 SH SOLE 0 0 232 ISHARES TR CORE 1 5 YR USD 46432F859 2 24 SH SOLE 0 0 24 JACOBS ENGR GROUP INC COM 469814107 1 13 SH SOLE 0 0 13 KIMCO RLTY CORP COM 49446R109 1 58 SH SOLE 0 0 58 KLA CORPORATION COM NEW 482480100 1 7 SH SOLE 0 0 7 LEGG MASON INC COM 524901105 2 31 SH SOLE 0 0 31 LILLY ELI & CO COM 532457108 2 11 SH SOLE 0 0 11 MARSH & MCLENNAN COS INC COM 571748102 1 2 SH SOLE 0 0 2 MERCK & CO. INC COM 58933Y105 1 13 SH SOLE 0 0 13 MOHAWK INDS INC COM 608190104 1 9 SH SOLE 0 0 9 NORTHERN TR CORP COM 665859104 1 11 SH SOLE 0 0 11 NVIDIA CORP COM 67066G104 2 5 SH SOLE 0 0 5 OMNICOM GROUP INC COM 681919106 1 15 SH SOLE 0 0 15 ROPER TECHNOLOGIES INC COM 776696106 1 1 SH SOLE 0 0 1 SCHWAB STRATEGIC TR INTL SCEQT ETF 808524888 81 3301 SH SOLE 0 0 3301 SELECT SECTOR SPDR TR ENERGY 81369Y506 3 70 SH SOLE 0 0 70 SPDR GOLD TRUST GOLD SH 78463V107 15 101 SH SOLE 0 0 101 SPDR INDEX SH FDS S&P EMKTSC ETF 78463X756 61 1824 SH SOLE 0 0 1824 SPDR INDEX SH FDS S&P INTL SMLCP 78463X871 1 6 SH SOLE 0 0 6 SPDR SER TR WELLS FG PFD ETF 78464A292 1 7 SH SOLE 0 0 7 SPDR SER TR BLMBRG BRC CNVRT 78464A359 1 7 SH SOLE 0 0 7 SPDR SER TR PORTFOLIO INTRMD 78464A375 1 8 SH SOLE 0 0 8 SPDR SER TR FTSE INT GVT ETF 78464A490 1 11 SH SOLE 0 0 11 SPDR SER TR PORTFOLIO AGRGTE 78464A649 42 1359 SH SOLE 0 0 1359 SPDR SER TR PORTFLI TIPS ETF 78464A656 40 1368 SH SOLE 0 0 1368 SPDR SER TR PORTFOLIO LN TSR 78464A664 41 856 SH SOLE 0 0 856 SPDR SER TR PORTFLI INTRMDIT 78464A672 41 1228 SH SOLE 0 0 1228 SPDR SER TR BLOOMBERG BRCLYS 78468R622 106 1116 SH SOLE 0 0 1116 SPDR SER TR NUVEEN BLMBRG SR 78468R739 45 918 SH SOLE 0 0 918 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 44 12076 SH SOLE 0 0 12076 UBS AG JERSEY BRH ALERIAN INFRST 902641646 28 3318 SH SOLE 0 0 3318 UNITEDHEALTH GROUP INC COM 91324P102 1 1 SH SOLE 0 0 1 VANGUARD BD INDEX FDS TOTAL BND MRKT 921937835 717 8394 SH SOLE 0 0 8394 VANGUARD CHARLOTTE FDS INTL BD IDX ETF 92203J407 207 3671 SH SOLE 0 0 3671 VANGUARD INDEX FDS REAL ESTATE ETF 922908553 130 1860 SH SOLE 0 0 1860 VANGUARD INDEX FDS LARGE CAP ETF 922908637 893 7538 SH SOLE 0 0 7538 VANGUARD INTL EQUITY INDEX F GLB EX US ETF 922042676 32 728 SH SOLE 0 0 728 VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF 922042858 147 4371 SH SOLE 0 0 4371 VANGUARD MALVERN FDS STRM INFPROIDX 922020805 3 46 SH SOLE 0 0 46 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 188 2366 SH SOLE 0 0 2366 VANGUARD SCOTTSDALE FDS INTER TERM TREAS 92206C706 2 16 SH SOLE 0 0 16 VANGUARD SCOTTSDALE FDS MORTG-BACK SEC 92206C771 35 640 SH SOLE 0 0 640 VANGUARD SCOTTSDALE FDS INT-TERM CORP 92206C870 33 372 SH SOLE 0 0 372 VANGUARD SPECIALIZED FUNDS DIV APP ETF 921908844 2 16 SH SOLE 0 0 16 VANGUARD TAX-MANAGED INTL FD FTSE DEV MKT ETF 921943858 233 6981 SH SOLE 0 0 6981 VANGUARD WHITEHALL FDS EMERG MKT BD ETF 921946885 86 1214 SH SOLE 0 0 1214 VERIZON COMMUNICATIONS INC COM 92343V104 1 4 SH SOLE 0 0 4 WALGREENS BOOTS ALLIANCE INC COM 931427108 1 8 SH SOLE 0 0 8 WALMART INC COM 931142103 1 5 SH SOLE 0 0 5 WELLTOWER INC COM 95040Q104 1 15 SH SOLE 0 0 15 ZOETIS INC CL A 98978V103 1 5 SH SOLE 0 0 5