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VL

Victor N. Lee

TRANSAMERICA FINANCIAL ADVISORS
City of Industry, CA 91748
Some features on this profile are disabled
CRD#: 1157658
VL

Professional summary

Victor Nelson Lee, who also goes by VIctor N Tom Alias, Victor Nelson Tom, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in City Of Industry, California.

Victor is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1983. Victor has worked at 9 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Victor N Tom Alias | Victor Nelson Tom

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Victor Nelson Lee's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Victor Nelson Lee's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

August 27, 2018 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 17800 Castleton Street Suite 600, City Of Industry, CA 91748
RIA
BD
CRD#: 16164
City of Industry, CA
Current

August 27, 2018 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 17800 Castleton Street Suite 600, City Of Industry, CA 91748
RIA
BD
CRD#: 16164
City of Industry, CA
Past

June 7, 2017 - April 6, 2018

BLAYLOCK VAN, LLC

RIA
CRD#: 145317
OAKLAND, CA
Past

February 15, 2017 - April 6, 2018

BLAYLOCK VAN, LLC

BD
CRD#: 145317
OAKLAND, CA
Past

November 19, 2002 - July 6, 2004

J. ALEXANDER SECURITIES, INC.

BD
CRD#: 7809
LOS ANGELES, CA
Past

September 26, 2002 - October 15, 2002

FORTRESS INVESTMENT ADVISORS

RIA
CRD#: 115276
TEMECULA , CA
Past

June 7, 2002 - June 29, 2006

AVANZA CAPITAL MARKETS INC.

BD
CRD#: 103941
NEW YORK, NY
Past

October 14, 1998 - January 25, 2000

INDEPENDENT FINANCIAL GROUP, LLC

BD
CRD#: 7717
SAN DIEGO, CA
Past

June 3, 1993 - September 30, 1997

SECURITIES RESOLUTION CORPORATION

BD
CRD#: 7119
MINNEAPOLIS, MN
Past

October 9, 1984 - August 6, 1987

DREXEL BURNHAM LAMBERT INCORPORATED

BD
CRD#: 7323
Past

July 20, 1983 - December 28, 1984

BECKER PARIBAS INCORPORATED

BD
CRD#: 7635

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(8/27/2018)
IAR
California
(8/27/2018)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 4/3/2017
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 8/24/1993
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/15/2017
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/4/2002
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

TF
TRANSAMERICA FINANCIAL ADVISORS, LLC
IDEX DISTRIBUTORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, LLC | TRANSAMERICA FINANCIAL ADVISORS, INC. | TRANSAMERICA FINANCIAL ADVISORS, INC | PIONEER WESTERN DISTRIBUTORS, INC. | INTERSECURITIES, INC.

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA
Registered Investment Advisory firm - SEC (5/16/1991 Approved)
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)
PREMIUM
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Contact information

Main Address
Two Liberty Place 50 South 16th Street, Suite 3700, Philadelphia, PA 19102
Mailing Address
6400 C St Sw, Cedar Rapids, IA 52499-0001
Phone number
(727) 299-1800
Established
Delaware since 12/28/1984
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
1,054

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

FINRA licenses (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)
TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)
TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

NamePositionCRD#
AUSA HOLDING, LLCOWNER
BARRY, MICHELLE ANNEDIRECTOR, PRESIDENT, CEO2744539
BEITZEL, BRIANDIRECTOR, CHIEF FINANCIAL OFFICER6183770
COSTELLO, ROBERTCHIEF OPERATIONS OFFICER1349716
KRAMER, CHRISTINA DCHIEF COMPLIANCE OFFICER4406871
TJOA, NATHANIELCHIEF SUPERVISORY OFFICER4667709

Regulatory assets under management

Total Number of Accounts42,440
AUM (Assets Under Management)$ 1,730,669,809

Disclosures

Regulatory Event19
Arbitration3
Bond3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164City Of Industry, CA 91748

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