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Two Liberty Place 50 South 16Th Street, Suite 3700, Philadelphia, PA 19102 • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| CA | RA | APPROVED | 2012-01-06 |
Branch Locations
6700 Koll Center Pkwy Suite 160-P, Pleasanton, CA 94566 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| World Financial Group | Pleasanton | CA | 06/2001 | Present |
| Penney Enterprise Inc. | Pleasanton | CA | 01/2001 | Present |
| Investment Property - 2Nd Home | Pleasanton | CA | 03/2010 | Present |
| Transamerica Financial Advisors, Inc | Pleasanton | CA | 01/2012 | Present |
| Taste Of Sing-Ma Inc. | Pleasanton | CA | 11/2013 | 07/2017 |
| Dream Builder Financial Service Website | Pleasanton | CA | 05/2020 | Present |
"Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." Dream Builder Financial Service Website/ 0520-Present / Investment Related: Yes / 7077 Knoll Center Pkwy, #110, Pleasanton, CA 94566 / Owner / co-branding / Hrs Work Monthly: 5 / Sec Trading Hrs: 0 / It is a co-branding marketing WFG products Investment Property -2nd Home for in-law to live in / 0310-present/ investment-related: NO /2881 Whitney Dr. Pleasanton,CA 94566/ co-owner/ 2nd home for in-law to live in/ Hrs Work Monthly: 1 / Sec Trading Hrs: 0 / NA Penny Enterprise LLC / 1002-Present / Investment Related: Yes / Santa Clara, Ca / Managing Partner / Hrs Work Monthly: 10% / Sec Trading Hrs: 5% / NA
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2008-02-08 |
| S63 | Uniform Securities Agent State Law Examination | 1996-05-13 |
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