TD
Thu Q. Dang
TRANSAMERICA FINANCIAL ADVISORS
Dallas, TX 75243
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CRD#: 2847268
TD
Professional summary
Thu Quang Dang is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Dallas, Texas.
Thu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Thu 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
None
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. HEARTLAND INSTITUTE OF FINANCIAL EDUCATION; NOT INVESTMENT RELATED; 8301 EAST PRENTICE AVE, 312, GREENWOOD VILLAGE CO 80111; NATIONAL NON-PROFIT ORGANIZATION WHOSE MISSION IS TO PROMOTE FINANCIAL LITERACY ACROSS AMERICA; CPP COLLEGE CONSULTANT; 6/2014; PRESENTING THE HIFE CPP TO PARENTS/STUDENTS. DISCUSSING THE QUALIFICATION REQUIREMENTS FOR STUDENTS TO ENROLL IN HIFE CPP. ENCOURAGING STUDENTS IN COMPLETING THE CAREER ASSESSMENT MONITORING THE STUDENT'S PROGRESS CIGNA HEALTH INSURANCE; NOT INVESTMENT RELATED; 13101 PRESTON RD SUITE 480, DALLAS, TX 75240; PROVIDE THE HEALTH INSURANCE; SALE REPRESENTATIVE; 10/01/2014; 8-20 HOURS/MONTH; I WILL TRY TO HELP CLIENT TO FIND HEALTH INSURANCE WITH THEIR SUITABLE BUDGET AND THEIR NEED AETNA; NOT INVESTMENT RELATED; 13101 PRESTON RD SUITE 480 DALLAS TX 75240; PROVIDED HEALTH INSURANCE; SALE REPRESENTATIVE; 11/10/2014; 8-20 HOURS/MONTH; PROVIDE HEALTH INSURANCE FOR CLIENT MOLINA HEALTH CARE/NO/MOLINA HEALTH INS, DALLAS, TX, 75243/HEALTH INSURANCE/SALE AGENT/11.01.2015/4/1/I ONLY DO DURING ENROLLMENT FOR HEALTH INSURANCE. FRIDAY HEALTH INSURANCE POSITION: AGENT NATURE: HEALTH CARE INSURANCE INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 08/18/2022 ADDRESS: 10300 N CENTRAL EXPWY, DALLAS TX 75231, United States DESCRIPTION: I JUST EXPANDED THE BUSINESS WITH THE HEALTH CARE AND MEDICARE UNITED HEALTH CARE POSITION: sale NATURE: heath insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 1 START DATE: 08/01/2022 ADDRESS: 10300 n Central Expwy, suite 400, dallas TX 75231, United States DESCRIPTION: health care services BLUECROSS BLUE SHIELD HEALTH INSURANCE INVESTMENT RELATED NO DALLAS TX 12/01/2011 REPRESENTATIVE
CRS (Client Relationship Summary) - RIA
Click below to view Thu Quang Dang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Thu Quang Dang'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: 12225 Greenville Avenue Suite 121, Dallas, TX 75243RIA
BD
CRD#: 16164
Dallas, TX
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 12225 Greenville Avenue Suite 121, Dallas, TX 75243RIA
BD
CRD#: 16164
Dallas, TX
Past
July 26, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DALLAS, TX
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
DALLAS, TX
Past
February 28, 1997 - 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)
RR
Minnesota(1/6/2012)
RR
Texas(1/6/2012)
IAR
Texas(1/6/2012)
RR
Virginia(2/21/2023)
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#: 16164Dallas, TX 75243TRUST BUT VERIFY
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