Best Investors Account Sign in
Current Employers
Transamerica Financial Advisors, Llc

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

Current Registrations

AuthorityCategoryStatusDate
NC RA APPROVED 2016-04-29
CA RA APPROVED 2012-01-06
  • NC RA
    APPROVED
    Since 2016-04-29
  • CA RA
    APPROVED
    Since 2012-01-06

Branch Locations

680 Langsdorf Dr. Ste 204, Fullerton, CA 92831 • 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
World Financial Group, Inc. Fullerton CA 11/2008 Present
Transamerica Financial Advisors, Inc Fullerton CA 01/2012 Present
Ro & E Services, Inc. Irvine CA 09/2015 Present
Word And Brown General Agency Orange CA 02/2016 Present
Destiny Builders 9, Llc Fullerton CA 08/2017 Present
  • 11/2008 → Present
    World Financial Group, Inc.
    Fullerton, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Fullerton, CA
  • 09/2015 → Present
    Ro & E Services, Inc.
    Irvine, CA
  • 02/2016 → Present
    Word And Brown General Agency
    Orange, CA
  • 08/2017 → Present
    Destiny Builders 9, Llc
    Fullerton, CA
Previous Registrations
  • 2011-08-25 → 2012-01-06
    Investment Advisors International, Inc.
    Anaheim, CA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. RO&E SERVICE, INC; 09/18/2015; ACCOUNTING/PAYROLL; NOT RELATED; 17291 IRVINE BLVD; SUITE 465; IRVINE, CA 92780; ACCOUNTING/BOOKKEEPING/PAYROLL SERVICES; 15 HRS/MO; 0 TRADING; PREPARE PAYROLL FOR VARIOUS SMALL BUSINESSES, DATE ENTRY, ANSWER QUESTIONS. WORD AND BROWN GENERAL AGENCY; 02/01/2016; YES INV RELATED; AGENT; 701 SOUTH PARKER, SUITE 8000, ORANGE, CA 92868; PROVIDES HEALTH INSURANCE AND EMPLOYEE BENEFITS SOLUTIONS FOR GROUP/BUSINESSES AND INDIVIDUALS; 20 HRS/MO; 0 TRADING; OCCASIONALLY ON A CASE BY CASE BASIS, NOT MARKETING. DESTINY BUILDERS 9, LLC/NOT INVESTMENT RELATED/PARTNER.MEMBER/8.27.2017/680 LANGSDORF DRIVE, SUITE 204, FULLERTON, CA 92831/FINANCIAL SERVICES PASS THROUGH ACCOUNT PER IMMEDIATE SUPV (MATTHEW MAI)./DESCRIPTION OF DUTIES: GENERAL OFFICE USE./HOURS.MONTH:10/HOURS DURING SECURITIES TRADING HOURS:0

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2011-04-28
S63 Uniform Securities Agent State Law Examination 2010-04-30
  • S65 Uniform Investment Adviser Law Examination
    2011-04-28
  • S63 Uniform Securities Agent State Law Examination
    2010-04-30

View on SEC IAPD

Other Firms

Other Investors

Other Offices

More in Fullerton, CA

Reviews

Want to share your experience?

Sign in to leave a review
Loading reviews...

Reach out to this advisor