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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 2017-06-07
  • CA RA
    APPROVED
    Since 2017-06-07

Branch Locations

1821 Saratoga Ave Suite 290, Saratoga, CA 95070 • 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 Saratoga CA 03/2017 Present
Intel Santa Clara CA 11/1989 09/2016
World Financial Group, Inc. Saratoga CA 10/2016 Present
Premier Marketing Norfolk NE 03/2019 Present
Wfg Direct Saratoga CA 08/2021 Present
Rental Property Cupertino CA 03/2013 Present
Lu And Wang Group Saratoga CA 03/2019 Present
  • 03/2017 → Present
    Transamerica Financial Advisors, Inc
    Saratoga, CA
  • 11/1989 → 09/2016
    Intel
    Santa Clara, CA
  • 10/2016 → Present
    World Financial Group, Inc.
    Saratoga, CA
  • 03/2019 → Present
    Premier Marketing
    Norfolk, NE
  • 08/2021 → Present
    Wfg Direct
    Saratoga, CA
  • 03/2013 → Present
    Rental Property
    Cupertino, CA
  • 03/2019 → Present
    Lu And Wang Group
    Saratoga, CA
Other Businesses

Sales of insurance and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc WFG DirectSaratogaCaliforniaUnited StatesNoAgent 08/2021PRESENT Premier Marketing / 0319-Present / INVESTMENT RELATED: Yes / 705 W Benjamin Norfolk, NE 68701 / Agent / Medicare and Health Care Insurance/ hrs work monthly: 10 / Sec trading hrs: 0 / Provide health care insurance for needed customer Lu and Wang Group / 0319-Present / INVESTMENT RELATED: NO / 1821 Saratoga Ave. Saratoga, CA 95070 / Secretary & CFO/ Lu & Wang Group is created for the sole purpose of running my accountant, This name won't be used to contact any life and securities business / hrs work monthly: 8 / Sec trading hrs: 0 / This name won't be used to conduct any life and securities business. RENTAL PROPERTY POSITION: OWNER NATURE: RENTAL PROPERTY INVESTMENT RELATED: Yes NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 03/14/2013 ADDRESS: 967 MILLER AVE, CUPERTINO CA 95014, United States DESCRIPTION: The rental property is a passive investment without active management so there is no daily activity. Only needs to renew/extend lease once a year and inform home owner warranty company to repair as needed once in a while.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2017-05-17
S63 Uniform Securities Agent State Law Examination 2017-04-26
  • S65 Uniform Investment Adviser Law Examination
    2017-05-17
  • S63 Uniform Securities Agent State Law Examination
    2017-04-26
Other Names
  • Tk David Wang
  • Tsan Kuen David Wang

View on SEC IAPD

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