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Xiaoying Shi

Transamerica Financial Advisors, LLC

Irvine, CA

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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 APP_PEND_IARCE 2026-01-01
  • CA RA
    APP_PEND_IARCE
    Since 2026-01-01

Branch Locations

1 Technology Drive Suite J709, Irvine, CA 92618 • 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 Irvine CA 06/2001 Present
Transamerica Financial Advisors, Inc Irvine CA 01/2012 Present
  • 06/2001 → Present
    World Financial Group
    Irvine, CA
  • 01/2012 → Present
    Transamerica Financial Advisors, Inc
    Irvine, CA
Previous Registrations
  • 2010-03-25 → 2012-01-06
    Investment Advisors International, Inc.
    Fresno, CA
Other Businesses

Sales of insurance and non insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2009-12-29
S63 Uniform Securities Agent State Law Examination 1998-09-21
  • S65 Uniform Investment Adviser Law Examination
    2009-12-29
  • S63 Uniform Securities Agent State Law Examination
    1998-09-21
Other Names
  • Sandra Shi

View on SEC IAPD

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Other Offices

VISTA POINT ASSET MANAGEMENT LLC · IRVINE, CA
PRINCIPAL SECURITIES, INC. · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA
GALLAGHER FIDUCIARY ADVISORS, LLC · Irvine, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
INTEGRATED WEALTH CONCEPTS LLC · IRVINE, CA
EQUITABLE ADVISORS, LLC · IRVINE, CA

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