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Current Employers
Transamerica Financial Advisors, Llc

Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States

Current Registrations

AuthorityCategoryStatusDate
CA RA APPROVED 2012-01-06
  • CA RA
    APPROVED
    Since 2012-01-06

Branch Locations

2107 N. First Street Suite 310, San Jose, CA 95131 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wfgia Fremont CA 06/2002 Present
Rental Property Milpitas CA 07/2010 12/2022
Transamerica Financial Advisors, Inc Fremont CA 01/2012 Present
Ihss - In-Home Supportive Services Milpitas CA 02/2025 Present
  • 06/2002 → Present
    Wfgia
    Fremont, CA
  • 07/2010 → 12/2022
    Rental Property
    Milpitas, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Fremont, CA
  • 02/2025 → Present
    Ihss - In-Home Supportive Services
    Milpitas, CA
Previous Registrations
  • 2008-09-09 → 2012-01-06
    Investment Advisors International, Inc.
    Sunnyvale, CA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc IHSS - IN-HOME SUPPORTIVE SERVICES / no / POSITION: Provider NATURE: Provide In-Home Support to elderly INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 1 START DATE: 02/15/2025 ADDRESS: 36 Homme Way, Milpitas CA 95035, United States DESCRIPTION: This is a state program for provider like myself to provide In-Home Support to elder family members because they have difficulty taking care certain tasks themselves. I will be the main provider to provide support to the elderly in the family such as helping with grocery, laundry, household chores...etc.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-12
S63 Uniform Securities Agent State Law Examination 2002-10-28
  • S65 Uniform Investment Adviser Law Examination
    2008-08-12
  • S63 Uniform Securities Agent State Law Examination
    2002-10-28
Other Names
  • Sandy Suimei Yu
  • Sandy Suimei Yu

View on SEC IAPD

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