Chungfu E. Hsieh
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.
Chungfu Erik Hsieh, who also goes by Chungfu E Hsieh, Chung Fu Hsieh, Chungfu Erik Hsieh, was a registered financial professional .
Chungfu is a previously registered financial professional and started their career in finance in 1999. Chungfu had worked at 5 firms and has passed the Series 66, Series 63, SIE, Series 7 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
January 25, 2016 - December 13, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
January 25, 2016 - December 13, 2021
TRANSAMERICA FINANCIAL ADVISORS, LLC
September 25, 2013 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
September 4, 2013 - December 31, 2015
VOYA FINANCIAL ADVISORS, INC.
October 10, 2012 - September 3, 2013
J.P. MORGAN SECURITIES LLC
October 10, 2012 - September 3, 2013
J.P. MORGAN SECURITIES LLC
October 7, 2004 - October 10, 2012
AVANTAX ADVISORY SERVICES
November 1, 1999 - October 10, 2012
AVANTAX INVESTMENT SERVICES, 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.
