TrueAdvisor
TrueAdvisor
JM
JM

James Mardock

Transamerica Financial Advisors, LLC
34 Years of Experience
Portland, OR
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

James Mardock is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Portland, OR, with 34 years of industry experience. James is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1121 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Maximum total annual program fees are up to 2.75% for TFA365 and third-party manager programs, and up to 2.0% for Transamerica ONE. Fees vary based on the specific program, model portfolios selected, and negotiations with your investment advisor representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

7421 SW Bridgeport Rd, Portland, OR, 97224

Get directions

History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
April 2004
Settled
Customer Dispute
October 1999
Closed-No Action
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

James is involved in sales of insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors, Inc. He also works as a mushroom picker and owns rental property, dedicating minimal time to these activities.

Employment History
Current Registrations
Transamerica Financial Advisors, LLC
January 2012 - Present · 14 yrs 9 mos
Transamerica Financial Advisors, LLCBroker
January 2012 - Present · 14 yrs 9 mos
Previous Registrations
Investment Advisors International, INC.
August 2006 - January 2012 · 5 yrs 5 mos
Intersecurities, INC.
October 2005 - September 2006 · 11 mos
World Group Securities, INC.Broker
April 2002 - January 2012 · 9 yrs 9 mos
Wma Securities, INC.Broker
June 1994 - April 2002 · 7 yrs 10 mos
Intersecurities, INC.Broker
July 1992 - June 1994 · 1 yr 11 mos
State Registrations7 states
AZFLORPATXUTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
More Advisors
More financial advisors in Portland, OR →All financial advisors in Oregon →