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

Branch Locations

3550 Stevens Creek Blvd Suite 308, San Jose, CA 95117 • 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 San Jose CA 07/2009 Present
Transamerica Financial Advisors, Inc San Jose CA 01/2012 Present
Alliance Realty And Loan San Jose CA 08/2012 Present
Notary Public Cupertino CA 10/2014 08/2022
Ihhs (In Home Support Service) San Jose CA 01/2022 Present
  • 07/2009 → Present
    World Financial Group
    San Jose, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    San Jose, CA
  • 08/2012 → Present
    Alliance Realty And Loan
    San Jose, CA
  • 10/2014 → 08/2022
    Notary Public
    Cupertino, CA
  • 01/2022 → Present
    Ihhs (In Home Support Service)
    San Jose, CA
Previous Registrations
  • 2010-03-04 → 2012-01-06
    Investment Advisors International, Inc.
    El Monte, CA
    Mountain View, CA
    Sunnyvale, CA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc IHHS (In Home Support Service) / 0122-Present / Investment Related: No / 200 S Market Street #803 San Jose, CA 95113 / IHSS Worker / Cares supporting / Hrs. Work Monthly: 35 / Sec Trading Hrs: 1 / Take care of doctor, pharmacy, grocery visit and errand trips; Perform house cleaning, and laundry jobs, make meals for the elder Alliance Realty and Loan/NO/890 Saratoga Ave.San Jose, CA 95129/ Real Estate Sales Person - buying/selling real residential property 10 hrs per week / approved with restrictions

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2010-02-05
S63 Uniform Securities Agent State Law Examination 2009-08-03
  • S65 Uniform Investment Adviser Law Examination
    2010-02-05
  • S63 Uniform Securities Agent State Law Examination
    2009-08-03

View on SEC IAPD

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