FS
Fuxiao Su
TRANSAMERICA FINANCIAL ADVISORS
Alpharetta, GA 30005
Some features on this profile are disabled
CRD#: 4746430
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Professional summary
Fuxiao Su is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia.
Fuxiao is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Fuxiao 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
None
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.
ALL TRUST REALTY INC, NON-INVESTMENT RELATED, 2475 NORTHWINDS PARKWAY, SUITE 200, ALPHARETTA, GA 30005, REAL ESTATE AGENCY, REALTOR, START 4/2013, 40 HRS/MO
FUDA FINANCIAL INC; NOT INVESTMENT RELATED; 4625 POCO CT CUMMING, GA 30040; DESIGN FOR WFG/TFA BUSINESS. PASS THROUGH; OWNER; 01/2015; 0 HOURS/MONTH; OWNER
HUMANA; NOT INVESTMENT RELATED; 500 W MAIN STREET, LOUISVILLE, KY 40202; HEALTH INSURANCE; AGENT; 01/2015; 16 HOURS/MONTH; SALE HEALTH INSURANCE
AMBETTER/NO/200 EAST RANDOLPH STE 5020 CHIGAGO, IL 60601/HEALTH INSURANCE FOR ON EXCHANGE MARKET PLACE. PEACH STATE HEALTH PLAN/INSURANCE AGENT/11/12/2018/5/1/ASSIST HEALTH INSURANCE ENROLMENT DURING HEALTH INSURANCE ENROLLMENT PERIOD.
ASSURANT HEALTH/no/DULUTH, GA/INSURANCE AGENT 10/06 PROVIDE HEALTH INSURANCE
KAISER PERMANENTE INSURANCE CO/NO/ATLANTA GA/ BROKER 10/2004 MARKET HEALTH SERVICES
Blue Cross Blue Shield of GA/no/3350 Peachtree Road, N.E. Peachtree GA 30326/Health insurance agent 12/2/2011-Health Insurance
CRS (Client Relationship Summary) - RIA
Click below to view Fuxiao Su's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Fuxiao Su'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
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Past
May 21, 2009 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
DULUTH, GA
Past
April 9, 2004 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ALPHARETTA, 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
California(1/6/2012)
RR
Florida(1/6/2012)
RR
Georgia(1/6/2012)
IAR
Georgia(1/6/2012)
RR
Massachusetts(5/31/2023)
RR
Texas(1/6/2012)
IAR
Texas(1/6/2012)
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.
