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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
TX RA APPROVED_RES 2021-10-15
NJ RA APPROVED 2021-03-19
CA RA APPROVED 2016-08-09
  • TX RA
    APPROVED_RES
    Since 2021-10-15
  • NJ RA
    APPROVED
    Since 2021-03-19
  • CA RA
    APPROVED
    Since 2016-08-09

Branch Locations

6700 Koll Center Pkwy Suite 160-P, Pleasanton, CA 94566 • 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
Transamerica Financial Advisors, Inc Pleasanton CA 06/2014 Present
Wfgia Pleasanton CA 04/2013 Present
International Business Machines San Jose CA 05/2001 06/2017
Covered California Health Insurance Marketplace San Jose CA 01/2018 Present
Wfg Direct San Carlos CA 08/2021 Present
Lspn Pro, Llc Lindon UT 09/2021 04/2025
Inheritguard, Llc Sheridan WY 03/2022 Present
  • 06/2014 → Present
    Transamerica Financial Advisors, Inc
    Pleasanton, CA
  • 04/2013 → Present
    Wfgia
    Pleasanton, CA
  • 05/2001 → 06/2017
    International Business Machines
    San Jose, CA
  • 01/2018 → Present
    Covered California Health Insurance Marketplace
    San Jose, CA
  • 08/2021 → Present
    Wfg Direct
    San Carlos, CA
  • 09/2021 → 04/2025
    Lspn Pro, Llc
    Lindon, UT
  • 03/2022 → Present
    Inheritguard, Llc
    Sheridan, WY
Other Businesses

Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Covered California Health Insurance Marketplace / 0118-Present / Investment Related: No / 3016 Lake Estates Ct, San Jose CA 95135 / Agent / Insurance Sales / Hrs Work Monthly: 0 / Sec Trading Hrs: 0 / Help clients with outside insurance needs. Specifically, Covered California Health Insurance Marketplace. INHERITGUARD, LLC POSITION: NOT APPLICABLE/NONE NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 03/09/2022 ADDRESS: 30 N Gould Street STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATEPLANNING ISSUES, SCHEDULE APPOINTMENTS.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-08-06
S63 Uniform Securities Agent State Law Examination 2015-05-26
  • S65 Uniform Investment Adviser Law Examination
    2016-08-06
  • S63 Uniform Securities Agent State Law Examination
    2015-05-26
Other Names
  • Stephanus W Hermanto
  • Willy Hermanto

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