CY
Cheng H. Yeoh
TRANSAMERICA FINANCIAL ADVISORS
Santa Clara, CA 95051
Some features on this profile are disabled
CRD#: 2557754
CY
Professional summary
Cheng Heong Yeoh, who also goes by Ben Yeoh, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Santa Clara, California.
Cheng is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Cheng 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"?
Yes
Aliases
Ben Yeoh
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 CREEKWOOD VILLAS 11 HOME OWNERS ASSOCIATIONMORGAN HILLCaliforniaUnited StatesNoDIRECTOR OF THE HOA BOARD08/2012PRESENT BEN YEOH APARTMENT RENTALJAMAICANew YorkUnited StatesNoOWNER 05/2012PRESENT PROFESSIONAL GROUP PLANSNEW YORKNew YorkUnited StatesNoBROKER 10/2006PRESENT Dream Builder FinancialPleasantonCaliforniaUnited StatesYesNA 08/2022PRESENT Principal Dental / 0819-Present / Investment-related: No / 500 Ygnacio Valley Road Suite 270 Walnut Creek, CA 94596 / Agent- Broker/ Principal Financial offers many products but I will only sell the group dental plans in this OBA./ Monthly Hrs: .05 / Sec Hrs: 0/ I will occasionally sell the dental plans when opportunities arise. RENTAL PROPERTY - SAN JOSE, 2836 SINGING RAIN PL SAN JOSE CA 95127, START DATE 10-15-2012, NOT INVESTMENT RELATED, PROPERTY OWNER,PROVIDE THE TENANT A SAFE AND CLEAN ENVIRONMENT TO LIVE IN, 1 HRS/WEEK AETNA,151 FARMINGTON AVE.,HARTFORD, CT 06156; BROKER/AGENT; NON-INVESTMENT RELATED; SELLING ONLY HEALTH INSURANCE PLANS,2 HRS/MO. MALAYSIAN PROFESSIONAL & BUSINESS ASSOCIATION,226 AIRPORT PARKWAY STE 480, SAN JOSE CA 95110, NON INVESTMENT RELATED,START DATE 01/01/2013,VICE PRESIDENT, 2HRS PER MONTH UNITED HEALTHCARE; NOT INVESTMENT-RELATED; 400 CAPITOL BLVD, FLOOR 2, ROCKY HILL, CT 06007; HEALTH INSURANCE CARRIER; SALES REPRESENTATIVE/BROKER; 07/16/13; 8 HRS/MONTH; SELLING HEALTH INSURANCE PRODUCTS Silicon Valley Enterprise, Inc/Not investment related/9.1.2017/3375 Scott Blvd 300 Santa Clara CA 95054/President/C Corp set up for signing lease for new office/Once lease is signed, no duties/Approved with restrictions GUARDIAN DENTAL INSURANCE/ 7.1.2017/ INDEPENDENT BROKER/ NON INVESTMENT RELATED/ PO BOX 2459 SPOKANE WA 99210/ SERVICE EXISTING DENTAL INS ACCOUNT/ APPROVED WITH RESTRICTIONS
CRS (Client Relationship Summary) - RIA
Click below to view Cheng Heong Yeoh's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Cheng Heong Yeoh'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: 2975 Bowers Ave Ste. 207, Santa Clara, CA 95051RIA
BD
CRD#: 16164
Santa Clara, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2975 Bowers Ave Ste. 207, Santa Clara, CA 95051RIA
BD
CRD#: 16164
Santa Clara, CA
Past
March 19, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
SANTA CLARA, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
SANTA CLARA, CA
Past
January 4, 1995 - 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.
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(1/6/2012)
IAR
California(1/6/2012)
RR
Georgia(10/9/2020)
RR
New York(1/6/2012)
RR
Texas(12/3/2015)
IAR
Texas(12/3/2015)
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.
