Van Q. Huynh
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Van Quoc Huynh, who also goes by Van Qvoc Huynh, was a registered financial professional .
Van is a previously registered financial professional and started their career in finance in 1998. Van had worked at 9 firms and has passed the Series 65, Series 63, SIE, Series 31 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 25, 2014 - June 22, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
February 25, 2014 - June 22, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 13, 2010 - November 26, 2013
CETERA INVESTMENT ADVISERS LLC
April 8, 2010 - November 26, 2013
CETERA FINANCIAL SPECIALISTS LLC
January 1, 2004 - November 24, 2009
VOYA FINANCIAL ADVISORS, INC.
January 1, 2004 - November 24, 2009
VOYA FINANCIAL ADVISORS, INC.
September 12, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
January 11, 2002 - January 1, 2004
LOCUST STREET SECURITIES, INC.
February 7, 2001 - January 1, 2002
BMA FINANCIAL SERVICES, INC.
February 17, 2000 - January 11, 2001
UBS FINANCIAL SERVICES INC.
February 7, 2000 - February 25, 2000
EQUITABLE ADVISORS, LLC
August 20, 1998 - December 13, 1999
MORGAN STANLEY DW INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
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.
