XH
Xiu Q. Hou
TRANSAMERICA FINANCIAL ADVISORS
San Jose, CA 95131
Some features on this profile are disabled
CRD#: 4486025
XH
Professional summary
Xiu Qin Hou, who also goes by Helen XIu-qin Hou, Xiu Qin Hou, Xiu Qin Hou, Xiu-qin Hou, Helen Hou, Xiu Qin Qin Hou, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in San Jose, California.
Xiu is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Xiu has worked at 5 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Helen Xiu-Qin Hou | Xiu Qin Hou | Xiu Qin Hou | Xiu-Qin Hou | Helen Hou | Xiu Qin Qin Hou
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. SANGRAF INTERNATIONAL INC.INDEPENDENCEOhioUnited StatesNoCEO 10/2013PRESENT HOU FINANCIAL GROUP/Investment Related - No/2005 De La Cruz Blvd. #230 Santa Clara, CA 95050 Tel: 650-678-0718 or 408-212-0168/Selling fixed insurance to individuals and groups/insurance broker/05.2012/10/5/selling fix insurances including medical plus health insurance clients approved with restrictions WISECREEK FINANCIAL LLC/Investment Related - No/2005 De La Cruz Blvd. Suite 230 Santa Clara, CA 95050, tel 650-678-0718 or 408-212-0168/Selling fix insurance, plus individual and business health insurances/Partner/01.2018/20/15/I am the only insurance broker for this new DBA, which eventually will replace my old DBA of Hou Financial Group. SANGRAF INTERNATIONAL INC./Investment Related - No/6140 West Creek Rd. #206 Independence, OH, 44141, 216-800-9999/This company is selling graphite electrodes to Steel companies directly from their manufactures overseas./Finance Manager/10.2013/5/2/I used to Overseas their finance department, but not any more, since they have more finance and accounting teammates and controller now.
CRS (Client Relationship Summary) - RIA
Click below to view Xiu Qin Hou's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xiu Qin Hou'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 1, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2107 N. First Street Suite 310, San Jose, CA 95131RIA
BD
CRD#: 16164
San Jose, CA
Current
March 1, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2107 N. First Street Suite 310, San Jose, CA 95131RIA
BD
CRD#: 16164
San Jose, CA
Past
December 10, 2015 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
RIA
CRD#: 7717
Santa Clara, CA
Past
December 10, 2015 - December 31, 2018
INDEPENDENT FINANCIAL GROUP, LLC
BD
CRD#: 7717
Santa Clara, CA
Past
May 25, 2012 - December 10, 2015
VOYA FINANCIAL ADVISORS, INC.
RIA
CRD#: 2882
SANTA CLARA, CA
Past
May 16, 2012 - December 10, 2015
VOYA FINANCIAL ADVISORS, INC.
BD
CRD#: 2882
SANTA CLARA, CA
Past
March 24, 2005 - March 16, 2012
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
SAN JOSE, CA
Past
September 6, 2002 - March 16, 2012
PRINCIPAL SECURITIES, INC.
BD
CRD#: 1137
SAN JOSE, CA
Past
January 9, 2002 - September 5, 2002
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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
California(3/1/2019)
IAR
California(3/1/2019)
RR
Ohio(3/4/2019)
IAR
Ohio(3/4/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product 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.
