TN
Tu C. Niem
TRANSAMERICA FINANCIAL ADVISORS
ELK GROVE, CA 95624
Some features on this profile are disabled
CRD#: 2893044
TN
Professional summary
Tu Chuong Niem, who also goes by Joey Chuong Niem, Joey Niem, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Elk Grove, California.
Tu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Tu has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joey Chuong Niem | Joey Niem
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 COLLEGE COACHING PROGRAM/NO/8301 EAST PRENTICE AVENUE, SUITE 312, GREENWOOD VILLAGE, CO 80111/PROVIDE COLLEGE PLANNING AND COACHING TO FAMILIES/COLLEGE CONSULTANT/07.22.2017/5/1/PROVIDE FAMILIES WITH INFORMATION ON COLLEGE PLANNING SERVICES PROVIDED BY THE ORGANIZATION AND REFER THEM TO A COLLEGE PLANNING COACH EMPLOYED BY HEARTLAND INSTITUTE OF FINANCIAL EDUCATION. TRIUMPH PARTNER HOLDINGS, INC. D.B.A. FAR EAST CAFE/NOT INVESTMENT RELATED/MANAGER/3.31.2018/5014 FREEPORT BLVD., SACRAMENTO, CA 95822/RESTAURANT/MANAGE THE RESTAURANT OPERATIONS, STAFFING, AND INVENTORY./HOURS.MONTH: 30/HOURS DURING SECURITIES TRADING HOURS: 1 NIEM HOLDINGS LLC D/B/A POKE ICHII/ emp dates: 1119 TO PRESENT/ INVESTMENT RELATED: NO /address: 7600 GREENHAVEN DR UNIT 22 SACRAMENTO, CA 95831 / position: MANAGER / nature of business: POKE ICHII IS A JAPANESE STYLE RESTAURANT THAT MAKES AND SELLS POKE. POKE IS A JAPANESE STYLE FOOD THAT INCLUDES FISH, RICE, AND A NUMBER OF OTHER TOPPINGS / hrs work monthly: 40/Sec trading hrs: 1/ duties: MY DAILY DUTIES WILL BE TO MANAGE STUFF, INVENTORY, AND THE FINANCES OF THE BUSINESS TEAM TRIUMPH HOLDINGS INC/emp dates: 0221 TO PRESENT/ INVESTMENT RELATED: NO /address: 9355 E STOCKTON BLVD STE 230 ELK GROVE, CA 95624 / position: SECRETARY/ nature of business: STAFF AND OFFICE RENT/hrs work monthly: 20/Sec trading hrs: 1/ duties: I USUALLY JUST MANAGE THE STAFF AND RENT PAYMENT FOR THE OFFICE. THIS OBA WAS ESTABLISHED TO BE ABLE TO MANAGE PAYMENT FOR THE STAFF AND RENT PAYMENT FOR THE OFFICE WE USE FOR THE WFG BUSINESS MUSARUBRA US, LLC POSITION: Principal Consultant NATURE: Professional services for cybersecurity INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 5 START DATE: 10/02/2023 ADDRESS: 6000 Headquarters Drive, Suite 600, Plano TX 75024, United States DESCRIPTION: Provide professional services consulting to external customers (companies) for cyber security in particular as it relates to PCI DSS compliance. This includes performing security assessments on business processes, technology, and physical security.
CRS (Client Relationship Summary) - RIA
Click below to view Tu Chuong Niem's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tu Chuong Niem'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
May 20, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9355 East Stockton Blvd. Ste 160, Elk Grove, CA 95624RIA
BD
CRD#: 16164
ELK GROVE, CA
Current
April 23, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 9355 East Stockton Blvd. Ste 160, Elk Grove, CA 95624RIA
BD
CRD#: 16164
ELK GROVE, CA
Past
January 6, 2012 - October 9, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
RIA
CRD#: 16164
MODESTO, CA
Past
January 6, 2012 - October 9, 2013
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
MODESTO, CA
Past
August 24, 2011 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
MODESTO, CA
Past
September 16, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
MODESTO, CA
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(4/23/2015)
IAR
California(5/20/2015)
RR
New York(4/23/2015)
RR
Oregon(4/23/2015)
RR
Tennessee(2/27/2023)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
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#: 16164Elk Grove, CA 95624TRUST BUT VERIFY
Monitor Tu Niem
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
