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Stephen Yuk Hoi Cheng

Transamerica Financial Advisors, LLC

Santa Clara, CA

CRD 2284656

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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
CA RA APPROVED 2012-01-06
  • CA RA
    APPROVED
    Since 2012-01-06

Branch Locations

2975 Bowers Ave Ste. 207, Santa Clara, CA 95051 • 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 Santa Clara CA 07/2001 Present
Transamerica Financial Advisors, Inc Santa Clara CA 01/2012 Present
  • 07/2001 → Present
    World Financial Group
    Santa Clara, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Santa Clara, CA
Previous Registrations
  • 2008-09-09 → 2012-01-06
    Investment Advisors International, Inc.
    Santa Clara, CA
    Flushing, NY
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2008-08-18
S63 Uniform Securities Agent State Law Examination 1993-02-18
  • S65 Uniform Investment Adviser Law Examination
    2008-08-18
  • S63 Uniform Securities Agent State Law Examination
    1993-02-18

View on SEC IAPD

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