VL
Victor N. Lee
TRANSAMERICA FINANCIAL ADVISORS
Arcadia, CA 91006
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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 Arcadia, 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.
Sales of insurance products and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Focus Advisors International, LLC / 0719-Present / Investment Related: No / 3579 E Foothill Blvd #268 Pasadena, CA 91107 / None / Pass through company / Hrs. Work Monthly: 0 / Sec Trading Hrs: 0 / None UBER / emp dates: 0116 TO PRESENT/ INVESTMENT RELATED: NO /address: 1455 MARKET STREET 4TH FLOOR SAN FRANCISCO, CA 94103/ position: DRIVER/ nature of business: DRIVING RIDERS / hrs work monthly: 30/Sec trading hrs: 1 / duties: PICKING RIDERS WHEN I HAVE FREE TIME LYFT / emp dates: 0519 TO PRESENT/ INVESTMENT RELATED: NO /address: 185 BERRY STREET SUITE 5000 SAN FRANCISCO, CA 94107/ position: DRIVER/ nature of business: OUTSIDE DRIVING CONTRACTOR / hrs work monthly: 30/Sec trading hrs: 1 / duties: DRIVING PASSENGER
CRS (Client Relationship Summary) - RIA
Click below to view Victor Nelson Lee's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Victor Nelson Lee's 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®
NoneExperience
Current
August 27, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 444 E. Huntington Drive Suite 207, Arcadia, CA 91006RIA
BD
CRD#: 16164
Arcadia, CA
Current
August 27, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 444 E. Huntington Drive Suite 207, Arcadia, CA 91006RIA
BD
CRD#: 16164
Arcadia, 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
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
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)
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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)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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#: 16164Arcadia, CA 91006TRUST BUT VERIFY
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