Junwei Liu

TRANSAMERICA FINANCIAL ADVISORS

West Covina, CA 91790

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CRD#: 3111230

Professional summary

Junwei Liu is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in West Covina, California.

Junwei is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1998. Junwei has worked at 9 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6 and Series 24 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 products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc." Transamerica Agency Network (TAN) | Investment Related - YES | Insurance Agent | 1000 Lakes Dr. Suite 200, West Covina, CA 91790 | As of 6/2014

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Junwei Liu's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

CRS (Client Relationship Summary) - BD

Click below to view Junwei Liu's CRS (Customer Relationship Summary).

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®

None

Experience

Current

June 19, 2018 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 1000 Lakes Dr Suite 200, West Covina, CA 91790

RIA

CRD#: 16164

West Covina, CA

Current

June 19, 2018 - Present

TRANSAMERICA FINANCIAL ADVISORS, LLC

Office #1: 1000 Lakes Dr Suite 200, West Covina, CA 91790

RIA

CRD#: 16164

West Covina, CA

Past

April 26, 2016 - June 28, 2016

E-W INVESTMENTS, INC.

RIA

CRD#: 17463

SAN GABRIEL, CA

Past

February 18, 2014 - May 6, 2014

OSAIC SERVICES, INC.

RIA

CRD#: 133763

MONROVIA, CA

Past

February 14, 2014 - May 6, 2014

OSAIC SERVICES, INC.

CRD#: 133763

MONROVIA, CA

Past

April 27, 2012 - April 2, 2013

J.K. FINANCIAL SERVICES, INC.

CRD#: 103728

NORCO, CA

Past

November 26, 2008 - May 14, 2010

WADDELL & REED

CRD#: 866

BREA, CA

Past

November 25, 2008 - May 14, 2010

WADDELL & REED

RIA

CRD#: 866

BREA, CA

Past

November 21, 2007 - November 20, 2008

FORTUNE SECURITIES, INC.

CRD#: 40821

ALHAMBRA, CA

Past

October 30, 2003 - November 2, 2007

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

BREA, CA

Past

March 14, 2003 - November 2, 2007

PRUCO SECURITIES, LLC.

CRD#: 5685

BREA, CA

Past

February 9, 2000 - February 6, 2003

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

MONTEY PARK, CA

Past

September 9, 1998 - January 5, 2000

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

CRD#: 4039

NEW YORK, NY

Past

September 9, 1998 - February 6, 2003

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

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".

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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.

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

IAR

California
(6/19/2018)

California
(9/18/2018)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 9/17/2018

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 9/23/1999

Uniform Investment Adviser Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/17/1999

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 9/8/1998

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 24

Date: 10/3/2000

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

CRD#: 16164 / SEC#: 801-38618, 8-33429

RIA

Registered Investment Advisory firm - SEC (5/16/1991 Approved)

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

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV, PART 2A (10/6/2025)

TRANSAMERICA ELITE WEALTH MANAGEMENT PLATFORM PROGRAM - APPENDIX (10/6/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC., FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

TRANSAMERICA FINANCIAL ADVISORS, INC. FORM ADV PART 2A, APPENDIX 1 (3/28/2025)

Direct owners and executive officers

Name	Position	CRD#
AUSA HOLDING, LLC	OWNER
BARRY, MICHELLE ANNE	DIRECTOR, PRESIDENT, CEO	2744539
BEITZEL, BRIAN	DIRECTOR, CHIEF FINANCIAL OFFICER	6183770
COSTELLO, ROBERT	CHIEF OPERATIONS OFFICER	1349716
KRAMER, CHRISTINA D	CHIEF COMPLIANCE OFFICER	4406871
TJOA, NATHANIEL	CHIEF SUPERVISORY OFFICER	4667709

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.

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Advisor Monitoring

Firm Stability Insights

Junwei Liu

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Junwei Liu's CRS (Customer Relationship Summary).

CRS (Client Relationship Summary) - BD

Click below to view Junwei Liu's CRS (Customer Relationship Summary).

Certified licenses

Experience

TRANSAMERICA FINANCIAL ADVISORS, LLC

E-W INVESTMENTS, INC.

OSAIC SERVICES, INC.

OSAIC SERVICES, INC.

J.K. FINANCIAL SERVICES, INC.

WADDELL & REED

WADDELL & REED

FORTUNE SECURITIES, INC.

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

EQUITABLE ADVISORS, LLC

THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES

EQUITABLE ADVISORS, LLC

Primary Firm SEC Registration

TRANSAMERICA FINANCIAL ADVISORS, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 9/17/2018

Series 65

Date: 9/23/1999

SIE

Date: 10/1/2018

Series 7

Date: 8/17/1999

Series 6

Date: 9/8/1998

Series 24

Date: 10/3/2000

FINRA

Current Firm

TRANSAMERICA FINANCIAL ADVISORS, LLC

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

Disclosures

Red Flags

Company Information

TRANSAMERICA FINANCIAL ADVISORS, LLC

TRUST BUT VERIFY

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