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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 | 2018-03-09 |
Branch Locations
1810 Gateway Dr Suite 238, San Mateo, CA 94404 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Transamerica Financial Advisors, Llc | Burlingame | CA | 01/2017 | Present |
| Wfgia | Burlingame | CA | 12/2014 | Present |
| Kelvin W Hall Dds | San Francisco | CA | 06/2001 | 03/2020 |
| Uber | San Francisco | CA | 08/2018 | 12/2019 |
| Lucy C Kwok | San Francisco | CA | 10/2021 | Present |
Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. Lucy C Kwok / 1021-Present / Investment Related: No / 71 Canyon Drive, San Francisco, CA 94112 / Daycare Provider / early childhood Education / Hrs. Work Monthly: 160 / Sec Trading Hrs: 8 / Provide care and education for infants and toddlers
| Code | Exam | Date |
|---|---|---|
| S65 | Uniform Investment Adviser Law Examination | 2017-10-28 |
| S63 | Uniform Securities Agent State Law Examination | 2017-05-20 |
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