Nathaniel Tjoa
Professional summary
Nathaniel Tjoa, who also goes by Nathaniel Thiam-sie Tjoa, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in San Jose, California.
Nathaniel is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. Nathaniel has worked at 5 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 6, Series 24, Series 51 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Nathaniel Tjoa's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Nathaniel Tjoa's CRS (Customer Relationship Summary).
Certified licenses
Experience
August 27, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #2: Two Liberty Place 50 South 16th Street, Philadelphia, PA 19102August 27, 2024 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: Two Liberty Place 50 South 16th Street, Philadelphia, PA 19102June 7, 2022 - August 23, 2024
M FINANCIAL SECURITIES MARKETING, INC.
April 3, 2020 - August 23, 2024
M HOLDINGS SECURITIES, INC.
March 27, 2020 - August 23, 2024
M HOLDINGS SECURITIES, INC.
September 4, 2012 - August 27, 2019
FORESTERS ADVISORY SERVICES, LLC
June 27, 2003 - October 31, 2019
FORESTERS FINANCIAL 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
(8/27/2024)
(8/27/2024)
(8/27/2024)
(9/3/2024)
(2/11/2025)
(2/20/2025)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
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.
