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Hoi Ying Yau

Transamerica Financial Advisors, LLC

Chicago, IL

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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
IL RA APPROVED 2018-04-10
TX RA APPROVED 2018-04-10
  • IL RA
    APPROVED
    Since 2018-04-10
  • TX RA
    APPROVED
    Since 2018-04-10

Branch Locations

3500 S. Morgan St. 4F, Chicago, IL 60609 • 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 Chicago IL 05/2016 Present
World Financial Group, Inc. Chicago IL 11/2015 Present
  • 05/2016 → Present
    Transamerica Financial Advisors, Inc
    Chicago, IL
  • 11/2015 → Present
    World Financial Group, Inc.
    Chicago, IL
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-12-02
S63 Uniform Securities Agent State Law Examination 2016-08-11
  • S65 Uniform Investment Adviser Law Examination
    2017-12-02
  • S63 Uniform Securities Agent State Law Examination
    2016-08-11
Other Names
  • Helen Yau

View on SEC IAPD

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Other Offices

BROWNSON, REHMUS & FOXWORTH, INC. · CHICAGO, IL
PFINGSTEN PARTNERS, L.L.C. · CHICAGO, IL
GUGGENHEIM FUNDS DISTRIBUTORS, LLC · CHICAGO, IL
GUGGENHEIM INVESTMENTS · CHICAGO, IL
PEKIN HARDY STRAUSS, INC. · CHICAGO, IL
SPIDERROCK ADVISORS, LLC · CHICAGO, IL
PROSPECT PARTNERS ADVISORS LLC · CHICAGO, IL
DOYENNE WEALTH ADVISORS · CHICAGO, IL

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