HC
Hsiu-ching J. Chiao
TRANSAMERICA FINANCIAL ADVISORS
Duluth, GA 30096
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CRD#: 4289398
HC
Professional summary
Hsiu-ching Joan Chiao, who also goes by Joan Chiao, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Duluth, Georgia.
Hsiu-ching is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Hsiu-ching has worked at 3 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joan Chiao
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. NARSSA | NOT INVESTMENT RELATED | START DATE:10/20/2021 | RSSA | 68 SOUTH SERVICE RD STE 100, MELVILLE NY 11747 | 30HR/MO-0HR DURING TRADING | NO SPECIFIC DUTIES Ritter / 1021-Present / Investment Related: No / 2605 Interstate Drive Harrisburg, PA 17110 / Agent / Health Insurance / Hrs. Work Monthly: 60 / Sec Trading Hrs: 0 / Seasonal more busier in Oct and Nov. Allianz Global Assistance USA/ 0520-Present / Investment Related: No/ 9950 Maryland Drive, Richmond, VA 23233 / Agent / Travel Insurance/ Hrs Work Monthly: 2/ Sec Trading Hrs: 0/ will be referral only Pivvot Health Insurance for Short Term Health Care / 0320-Present / Investment Related: No / 8700 E Vista Bonita Dr. Suite 174 Scottsdale, AZ 85255 /Agent / Short Term Health / Hrs Work Monthly: 2/ Sec Trading Hrs: 0/ Will do by referral only HUMANA; 1600 ASPEN COMMONS, MIDDLETON WI 53562; BECOME AGENT / BROKER FOR ACA OR MEDICARE; AGENT/BROKER; 01/2014; 20 HRS/MONTH; WRITE CASES International Medical Group; NOT INVESTMENT RELATED; 303 CONTRESSIONAL BLVD, CARMEL IN 46032; TO PROVIDE INTERNATIONAL MEDICAL INSURANCE COVERAGE FOR THOSE PEOPLE WHO TRAVEL TO THE UNITED STATES; AGENT; 5/2014; NUMBER OF HOURS VERY LITTE; SALE TRAVEL MEDICAL INSURANCE MUTUAL OF OMAHA; NOT INVESTMENT RELATED; MUTUAL OF OMAHA PLAZA, OMAHA NE 68175; PROVIDE MEDICARE SUPPLEMENT PLAN FOR POTENTIAL CLIENTS; PRODUCER; 1/2015; 0 HRS - ONLY FOR REFERRAL BASIS... AMBETTER HEALTH PLAN; NOT INVESTMENT RELATED; 3200 HIGHLANDS PKWY, SMYRNA GA 30082; OBAMA CARE; AGENT; 1/2015; 0 HRS/MONTH - REFERRAL ONLY COVENTRY; 11/30/2015; YES INV RELATED; PRODUCER; 1100 CIRCLE 75 PARKWAY, SUITE 1400, ATLANTA, GA 30339; HEALTH INSURANCE; 1 HR/MO; 0 TRADING; AGENT. HEARTLAND INSTITUTE-NO/2851 SOUTH PARKER RD,SUITE #1100,AUROTA,CO 80014/OFFER FINANCIAL CLASSES TO CORPORATE OR ORGANIZATION/INSTRUCTOR/6.18.2012/0/REGISTRY OF HEARTLAND INSTITUTE AS INSTRUCTOR Aetna/No/151 Farmington Avenue/Hartford/CT/06156/Medicare Supplemental Medicare Advantage and Part D (drug)/Producer/10.01.2016/10/0/Agent. Wellcare/ 0619-Present / Investment Related: No/ 8725 Henderson Road. Tampa, FL 33634 / Agent / Medicare Supp, Medicare Advantage, PDP, Dental, Vision / Hrs Wrked: 5/ Sec Trading Hrs: 0/ Referral only KAISER/0114-PRESENT/ INVESTMENT RELATED: NO /2140 PEACHTREE ROAD ATLANTA, GA 30300/ AGENT / OBAMA CARE / hrs work monthly: 5/Sec trading hrs: 0/I DID FOR REFERRAL ONLY BCBSGA / 0114 - PRESENT/ INVESTMENT RELATED: NO /3350 PEACHTREE ROAD ATLANTA, GA 30326/ AGENT /OBAMA CARE, MEDICARE / hrs work monthly: 5/Sec trading hrs: 0/ REFERRAL ONLY CARESOURCE /0919 TO PRESENT/ INVESTMENT RELATED: NO /230 N MAIN ST DAYTON, OH 45402/AGENT /ACA PROVIDERS FOR MARKET PLACE IN GA AREA / hrs work monthly: 5 /Sec trading hrs: 0 / BY REFERRAL OPTIMED HEALTH PLANS A UNITED GROUP PROGRAMS, INC. BRAND /0919 TO PRESENT/ INVESTMENT RELATED: NO /22 TECHNOLOGY PKWY S. SUITE 200 PEACHTREE CORNERS, GA 30092/ AGENT /s: GROUP HEALTH INSURANCE / hrs work monthly: 5 /Sec trading hrs: 0 /BY REFERRAL IF ANY ENTITY NEEEDS GROUP HEALTH INSURANCE
CRS (Client Relationship Summary) - RIA
Click below to view Hsiu-ching Joan Chiao's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Hsiu-ching Joan Chiao'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
March 4, 2013 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3805 Crestwood Pkwy Suite 529, Duluth, GA 30096RIA
BD
CRD#: 16164
Duluth, GA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 3805 Crestwood Pkwy Suite 529, Duluth, GA 30096RIA
BD
CRD#: 16164
Duluth, GA
Past
April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
NORCROSS, GA
Past
November 16, 2000 - 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
Georgia(1/6/2012)
IAR
Georgia(3/4/2013)
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.
