SO
Senen S. Ogao
TRANSAMERICA FINANCIAL ADVISORS
Rancho Cucamonga, CA 91730
Some features on this profile are disabled
CRD#: 2537140
SO
Professional summary
Senen Silva Ogao, who also goes by Senen Silva, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Rancho Cucamonga, California.
Senen is registered as a RR (Registered Representative) and started their career in finance in 1994. Senen has worked at 4 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
Senen Silva
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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. COPELAND GROUP / emp dates: 0712 TO PRESENT/ INVESTMENT RELATED: NO /address: 1203 A WEST LOOP 281 LONGVIEW, TX 75604/ position: AGENT / nature of business: COPELAND GROUP PRIMARILY DO MEDICARE INSURANCE WHICH INCLUDES MEDICARE ADVANTAGE AND MEDI ARE SUPPLEMENT. THEY ALSO DO PROPERTY AND CASUALTY INSURANCE AND FINAL EXPENSE AS A COMPANY BUT I WILL ONLY DO MEDICARE SUPPLEMENT WITH COPELAND GROUP / hrs work monthly: 10 /Sec trading hrs: N/A / duties: OFFER MEDICARE SUPPLEMENT INSURANCE TO CLIENTS. COPELAND GROUP PRIMARILY DO MEDICARE INSURANCE WHICH INCLUDES MEDICARE ADVANTAGE AND MEDICARE SUPPLEMENT. THEY ALSO DO PROPERTY AND CASUALTY INSURANCE AND FINAL EXPENSE AS A COMPANY BUT I WILL ONLY DO MEDICARE SUPPLEMENT WITH COPELAND GROUP OBA Amendment Update: "COPELAND GROUP" Co name: L.A. FINANCIAL MANAGEMENT & SERVICES L.A, FINANCIAL REALTY SERVICES / emp dates: 0612 TO PRESENT/ INVESTMENT RELATED: YES /address: 3220 RIVERSIDE DR. SUITE A&B CHINO, CA 91710/ position: REAL ESTATE AGENT / nature of business: REAL ESTATE SERVICES WHICH INCLUDE SELLING REAL ESTATE PROPERTIES. THE COMPANY ALSO SOLICIT REAL ESTATE LOANS AND SHORT SALE FO REAL ESTATE PROPERTIES / hrs work monthly: 10 /Sec trading hrs: 0 / duties: I WILL BE A REALESTATE AGENT WHICH INCLUDES HELPING MY CLIENTS BUY OR SELL REAL ESTATE PROPERTIES. I WILL ALSO SOLICIT REAL ESTATE LOANS AND SHORT SALE OF REAL ESTATE PROPERTIES. MY CLIENTS ARE RECEIVED BY REFERRAL OBA Amendment Update: "L.A. FINANCIAL MANAGEMENT & SERVICES L.A, FINANCIAL REALTY SERVICES" Co name: GLOBAL MERCHANT INNOVATIONS/ emp dates: 0611 TO PRESENT/ INVESTMENT RELATED: NO /address: WOODLAND HILLS, CA 91367/ position: NONE / nature of business: MERCHANT INNOVATIONS / hrs work monthly: 0/Sec trading hrs: 0/ duties: NO ACTIVITIES OBA Amendment Update: "GLOBAL MERCHANT INNOVATIONS"
CRS (Client Relationship Summary) - BD
Click below to view Senen Silva Ogao'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9121 Haven Ave. Suite #170, Rancho Cucamonga, CA 91730RIA
BD
CRD#: 16164
Rancho Cucamonga, CA
Past
January 6, 2012 - December 23, 2024
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
Fullerton, CA
Past
September 22, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ANAHEIM, CA
Past
September 12, 2011 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ANAHEIM, CA
Past
September 16, 2008 - September 24, 2009
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
ONTARIO, CA
Past
April 12, 2002 - September 24, 2009
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ONTARIO, CA
Past
November 22, 1994 - April 12, 2002
WMA SECURITIES, INC.
BD
CRD#: 32625
DULUTH, GA
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.
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(1/6/2012)
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.
