Shih-sheng Li

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

Authority	Category	Status	Date
CA	RA	APPROVED	2015-03-09

CA RA
APPROVED

Since 2015-03-09

Branch Locations

39210 State Street, Fremont, CA 94538 • 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

Organization	City	State	From	To
Transamerica Financial Advisors, Inc	Fremont	CA	11/2014	Present
World Financial Group, Inc.	Fremont	CA	03/2013	Present
Cadence Design Systems	San Jose	CA	01/2013	Present

11/2014 → Present

Transamerica Financial Advisors, Inc

Fremont, CA
03/2013 → Present

World Financial Group, Inc.

Fremont, CA
01/2013 → Present

Cadence Design Systems

San Jose, CA

Other Businesses

Sales of insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." CADENCE DESIGN SYSTEMS; NOTINVESTMENT RELATED; 2655 SEELY AVE, SAN JOSE, CA 95134; SEMICONDUCTOR EDA (ELECTRONIC DESIGN AUTOMATION) SOFTWARE COMPANY/PRINCIPAL AE; 01/2013; 160 HOURS/MONTH; HELP SEMICONDUCTOR DESIGN COMPANIES ADOPT/USE OUR EDA SOFTWARE TO COMPLETE THEIR CHIP DESIGNS

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	2015-03-09
S63	Uniform Securities Agent State Law Examination	2015-01-30

S65 Uniform Investment Adviser Law Examination

2015-03-09
S63 Uniform Securities Agent State Law Examination

2015-01-30

Other Names

David Li

View on SEC IAPD