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Employer firm

Transamerica Financial Advisors, LLC CRD 16164

$2.11B regulatory AUM

Reported services (Item 5G)

  • Portfolio management (individuals)
  • Selection of other advisers

From the firm’s Form ADV. Read the guides:

Current Employers
Transamerica Financial Advisors, Llc

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

Current Registrations

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

Branch Locations

13010 Ne 20Th St Ste 100, Bellevue, WA 98005 • 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 Bellevue WA 10/2004 Present
Transamerica Financial Advisors, Inc Bellevue WA 01/2012 Present
Rsvp Real Estate Bellevue WA 03/2013 02/2019
Hife College Planning Program Renton WA 07/2014 10/2017
Connexion Insurance Solutions Kirkland WA 09/2014 Present
Hye Soon Kim - Health Insurance Anaheim CA 11/2016 Present
Realty Executives Bellevue WA 02/2019 06/2019
Rsvp Real Estate Bellevue WA 08/2019 Present
  • 10/2004 → Present
    Wfgia
    Bellevue, WA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Bellevue, WA
  • 03/2013 → 02/2019
    Rsvp Real Estate
    Bellevue, WA
  • 07/2014 → 10/2017
    Hife College Planning Program
    Renton, WA
  • 09/2014 → Present
    Connexion Insurance Solutions
    Kirkland, WA
  • 11/2016 → Present
    Hye Soon Kim - Health Insurance
    Anaheim, CA
  • 02/2019 → 06/2019
    Realty Executives
    Bellevue, WA
  • 08/2019 → Present
    Rsvp Real Estate
    Bellevue, WA
Previous Registrations
  • 2008-05-09 → 2012-01-06
    Investment Advisors International, Inc.
    Renton, WA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. CONNEXION INSURANCE SOLUTIONS; NOT INVESTMENT RELATED; 6510 130TH AVE NE 0102, KIRKLAND WA 98033; HEALTH INSURANCE, MEDICARE AND MEDICARE SUPPLEMENTS, DENTAL AND VISION INSURANCE SALES; INDEPENDENT CONTRACTOR; 9/2014; 40 HRS/MONTH; HEALTH INSURANCE AND MEDICARE AND MEDICARE SUPPLEMENTS, DENTAL AND VISION INSURANCE SALES AND MAINTAIN CLIENTS ACCOUNT Hye Soon Kim - Health Insurance/No/AGA Inc. 1040 N. Tustin Avenue/Anaheim/CA/92807/Medicare insurance agency selling Medicare plans/Broker/11.18.2016/30/1/Selling Medicare plans for Medicare recipients. RSVP REAL ESTATE /0819 TO PRESENT/ INVESTMENT RELATED: NO /500 108TH AVE NE SUITE 1100 BELLEVUE, WA 98004/BROKER-AGENT /REAL ESTATE HOME SALES / hrs work monthly: 10/Sec trading hrs: 0 / CHECKING THE MLS SYSTEM

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-04-12
S63 Uniform Securities Agent State Law Examination 2004-12-30
  • S65 Uniform Investment Adviser Law Examination
    2008-04-12
  • S63 Uniform Securities Agent State Law Examination
    2004-12-30
Other Names
  • Paulina An
  • Hye Soon An

View on SEC IAPD

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