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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 2026-03-05
  • CA RA
    APPROVED
    Since 2026-03-05

Branch Locations

1000 Lakes Drive Suite 415, West Covina, CA 91790 • 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 West Covina CA 11/2021 Present
Wfgia West Covina CA 10/2021 Present
Nissin Intl Transport Torrance CA 11/2011 09/2021
World System Builders (Wsb) Alviso CA 08/2022 Present
  • 11/2021 → Present
    Transamerica Financial Advisors, Inc
    West Covina, CA
  • 10/2021 → Present
    Wfgia
    West Covina, CA
  • 11/2011 → 09/2021
    Nissin Intl Transport
    Torrance, CA
  • 08/2022 → Present
    World System Builders (Wsb)
    Alviso, CA
Other Businesses

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

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2026-03-03
S63 Uniform Securities Agent State Law Examination 2021-11-11
  • S65 Uniform Investment Adviser Law Examination
    2026-03-03
  • S63 Uniform Securities Agent State Law Examination
    2021-11-11
Other Names
  • Masa Nakayama

View on SEC IAPD

More in West Covina, CA

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