Victoria Dang
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.
Victoria Dang, who also goes by VIctoria Dang, Thuy Dang Nguyen, Thuy Victoria Nguyen, Thuy Nguyen, Victoria Thuy Nguyen, Victoria Nguyen, Thuy Bich Dang, Thuy Bich Nguyen, was a registered financial professional .
Victoria is a previously registered financial professional and started their career in finance in 1999. Victoria had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 5, 2021 - December 18, 2023
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 21, 2018 - December 31, 2019
TRANSAMERICA FINANCIAL ADVISORS, LLC
August 8, 2014 - December 31, 2017
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 6, 2012 - August 16, 2012
TRANSAMERICA FINANCIAL ADVISORS, LLC
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
April 17, 2000 - April 12, 2002
WMA SECURITIES, INC.
August 14, 1999 - December 31, 1999
WMA SECURITIES, 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.
