YC
Yuh-jiun Chen
TRANSAMERICA FINANCIAL ADVISORS
Saratoga, CA 95070
Some features on this profile are disabled
CRD#: 2565755
YC
Professional summary
Yuh-jiun Chen, who also goes by Yuh Jiun Chen, Yuhjiun Chen, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Saratoga, California.
Yuh-jiun is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Yuh-jiun has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Yuh Jiun Chen | Yuhjiun Chen
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. Legacy Elite, Inc. / 1106-Present/ Investment Related: yes /5068 Royal Pines Way Dublin, CA94568/Owner-Broker/Real Estate/ Hrs Work Monthly: 10 %/ Sec Trading Hrs: 10% / WFG still pay to my personal name not to corp. I will receive 1099 to my name. No daily activity. GOOGAIN DBA MAXREAL / emp dates: 0819 TO PRESENT/ INVESTMENT RELATED: NO /address: 1288 KIFER ROAD SUNNYVALE, CA 94086/ position: BROKER ASSOCIATE / nature of business: REAL ESTATE TRANSACTIONS / hrs work monthly: 1 /Sec trading hrs: 0 / duties: BUY AND SELL REAL ESTATES BUTTERFLY EFFECT, LLC, NOT INVESTMENT-RELATED, 3600 BROADWAY ST, AMERICAN CANYON, CA 94503, SHAREHOLDER, AFFILIATED SINCE 01/2006; SHAREHOLDER ONLY SINCE 3/1/2013, 0 HRS/MO., NO DUTIES Poshmark/ 9.23.2017/ Individual Seller/ Post pictures of items for sale/ 1HR/MTH/ 101 Redwood Shores PKWY Redwood City CA 94065/ Approved without Restrictions GOOGAIN, INC / emp dates: 0819 TO PRESENT/ INVESTMENT RELATED: NO /address: 1288 KIFER ROAD #208 SUNNYVALE, CA 94086/ position: LOAN OFFICER / nature of business: MORTGAGE LOAN BROKER / hrs work monthly: 1 /Sec trading hrs: 0 / duties: I ONLY NEED TO SUBMIT LOAN TO THEM WHEN I HAVE CLIENT, NO DAILY ACTIVITY Eligere Investment Holding LLC/0507-Present/ Investment Related: No /5068 Royal Briggs Way Dublin, CA 94568 / Owner/Holding LLC for Investment property/ Hrs Work Monthly:0 / Sec Trading Hrs:0 Eligere Investing Holding, LLC/YES/ 5068 ROYAL PINES WAY DUBLIN CA 94568/05/01/2007/MANAGER/RETAL PROPERTY OWNER& MANAGER/05/01/2007/0/RENTAL PROPERY OWNER / APPROVED WITH RESRICTIONS
CRS (Client Relationship Summary) - RIA
Click below to view Yuh-jiun Chen's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Yuh-jiun Chen'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
November 21, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1821 Saratoga Ave Suite 290, Saratoga, CA 95070RIA
BD
CRD#: 16164
Saratoga, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1821 Saratoga Ave Suite 290, Saratoga, CA 95070RIA
BD
CRD#: 16164
Saratoga, CA
Past
April 4, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ALVISO, CA
Past
May 8, 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(11/21/2018)
RR
Florida(3/31/2015)
RR
Georgia(1/6/2012)
RR
Hawaii(7/2/2020)
RR
Illinois(1/6/2012)
RR
Kansas(1/6/2012)
RR
Maryland(1/6/2012)
RR
Massachusetts(1/6/2012)
RR
Missouri(1/6/2012)
RR
New Jersey(1/6/2012)
RR
New York(1/6/2012)
RR
Ohio(1/6/2012)
RR
Texas(1/6/2012)
RR
Virginia(7/2/2020)
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.
