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Johanna Mockett

Transamerica Financial Advisors, LLC
19 Years of Experience
Murfreesboro, TN
1 DisclosureBrokerSells Insurance
View SEC Summary
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Johanna Mockett is a registered investment advisor at Transamerica Financial Advisors, LLC, based in Murfreesboro, TN, with 19 years of industry experience. Johanna 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

1500 Medical Center Parkway, Ste 3A-3, Murfreesboro, TN, 37129

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History

Regulatory History (1)
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
March 2012
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Johanna sells insurance and non-insurance products for companies affiliated with Transamerica Financial Advisors. She also dedicates minimal time to administrative work for her WFG and TFA business, and a few hours per week to client communications and education on estate planning issues through LSPN PRO LLC and InheritGuard, LLC.

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.
October 2010 - January 2012 · 1 yr 3 mos
World Group Securities, INC.Broker
May 2007 - January 2012 · 4 yrs 8 mos
State Registrations10 states
CACOFLNJNVNYORTNTXVA
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.
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