Career
Mark Powers has been Vice President and Chief Compliance Officer of Transamerica Retirement Advisors since February 2025. Mark Powers is a control person of the firm and directly owns under 5% of it.
Transamerica Retirement Advisors, LLC is a Cedar Rapids, IA firm with $18.8B under management, 212,722 clients and 173 advisers across 174 offices, as of its March 2026 filing.
No adviser firm registrations are on Mark Powers’s record.
Credentials and registrations
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 14 | Compliance Officer Examination | 2 January 2023 |
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 24 | General Securities Principal Examination | 11 June 2013 |
| Series 63 | Uniform Securities Agent State Law Examination | 25 April 2013 |
- Name
- Compliance Officer Examination
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- General Securities Principal Examination
- Name
- Uniform Securities Agent State Law Examination
Individual record
- Full name
- Mark Judson Powers
- CRD
- 6173588
Disciplinary history is not reported here, in either direction. Check the SEC record.
Common questions
Where does Mark Powers work?
Mark Powers has been Vice President and Chief Compliance Officer of Transamerica Retirement Advisors, LLC since February 2025, and is a control person of the firm.
Does Mark Powers have a current investment-adviser registration?
Mark Powers has a current broker registration and no current investment-adviser registration.
What exams has Mark Powers passed?
Mark Powers has passed 4 licensing exams: the Series 63, Series 24, Series 14 and Series 99TO. The earliest, the Series 63, was passed in April 2013. FINRA credited Mark Powers with the SIE, which began in October 2018.