TB
Tu D. Bui
TRANSAMERICA FINANCIAL ADVISORS
Pleasanton, CA 94566
Some features on this profile are disabled
CRD#: 2897393
TB
Professional summary
Tu Ducanh Bui, who also goes by Tu Duc Anh Bui, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Pleasanton, California.
Tu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1997. Tu 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
Tu Duc Anh Bui
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." Volleyball Coach / 0722-Present/ Investment Related: No / 6280 Pebble Beach Drive, Vallejo, CA 94591/ Coach / Volleyball Coach / Hrs. Work Monthly: 40 / Sec Trading Hrs: 0 / Coaching kids how to play volleyball West Contra Unified School District - Substitute / 1121-Present / Investment Related: No /1108 Bissell Avenue Richmond, CA 94801 / Substitute Teacher / Public Education / Hrs. Work Monthly: 40 / Sec Trading Hrs: 4/ Substitute teacher for Hercules High School when needed. Esudo/No/1440 Koll Circle, Suite 102/San Jose/CA/95112/Computer support and technology consultant/Internal Sales Representative/05.29.2012/10 hours per week or as needed/Scheduling site visit and appointments and follow up visits. Tu Bui - Seminar/Event Coordinator/No/6280 Pebble Beach Drive/Vallejo/CA/94591/Coordinate seminars to professionals i.e. medical doctors, lawyers, nurses, etc./Seminar-Event Coordinator/04.23.2012/5 hours a week/Seminar coordination, event planning, on-site registration and preparation, direct mail and internet marketing. West Contra Costa Unified School District / 0419-present / INVESTMENT RELATED: NO / 1108 Bissell Ave. Richmond, CA 94801 / Girls Volleyball Coach / Public School District Coach / hrs work monthly: 100 / Sec trading hrs: 0 / Coaching volleyball to high school girls and boys from 4-7 pm, M-F MY INSURANCE SOLUTIONS INC / INVESTMENT RELATED: NO / 4137 CHICO AVENUE, SANTA ROSA CA 95407 / MEDICARE AGENT: EDUCATE AND ENROLL PROSPECTS TO MEDICARE ADVANTAGE AND MEDICARE SUPPLEMENT PLANS / HOURS PER MONTH: 20 / HOURS DURING SECURITIES TRADING HOURS: 1 / APPROVED WITH RESTRICTIONS PLEASANT HILL ADVENTIST ACADEMY/TEACHER POSITION: Teacher NATURE: Education INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 796 Grayson Road, Pleasant Hill CA 94523,DESCRIPTION: I have been asked to teach part time, two Physical Education classes and a Human Anatomy and Physiology class starting October 3, 2022 PLEASANT HILL ADVENTIST ACADEMY POSITION: Athletic Director/Teacher NATURE: Teaching and Athletic Director INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 07/01/2022 ADDRESS: 796 Grayson Road, Pleasant Hill CA 94523, United States DESCRIPTION: I will continue to act as the Athletic Director to schedule sporting events for the school. In addition, I will teaching a personal finance class using the NGPF.org curriculum as a teacher.
CRS (Client Relationship Summary) - RIA
Click below to view Tu Ducanh Bui's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Tu Ducanh Bui'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: 6700 Koll Center Pkwy Suite 160-p, Pleasanton, CA 94566RIA
BD
CRD#: 16164
Pleasanton, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6700 Koll Center Pkwy Suite 160-p, Pleasanton, CA 94566RIA
BD
CRD#: 16164
Pleasanton, CA
Past
January 9, 2007 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
PLEASANTON, CA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
PLEASANTON, CA
Past
July 2, 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)
IAR
California(1/6/2012)
RR
Florida(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.
