ZT
Zhaoxia Tan
TRANSAMERICA FINANCIAL ADVISORS
San Diego, CA 92127
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CRD#: 4999325
ZT
Professional summary
Zhaoxia Tan, CFP® is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in San Diego, California.
Zhaoxia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Zhaoxia has worked at 3 firms and has passed the Series 65, Series 63, SIE and Series 6 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. NetLaw /0721 -Present / Investment Related: No / 12910 Shelbyville Rd. Suite 124 Louisville, KY 40243/ /Referral Agent / Referral Business / Nature / Hrs. Work Monthly: 2 / Sec Trading Hrs.: 0 / Referral clients to netlaw ZEIDERS ENTERPRISES, 2750 KILLARNEY DRIVE, SUITE 100, WOODBRIDGE, VA, PFC ON-DEMAND, PROVIDE EDUCATIONAL AND COUNSELING SERVICES TO MILITARY MEMBERS AND FAMILIES REGARDING PERSONAL FINANCE, NOT INV-REL, START 11/2014, 4 HRS/MO, 0 HRS Zhaoxia Tan/ 0618-Present / INVESTMENT RELATED: NO / 195 Tarocco Irvine, CA 92618 / Owner / Temporarily rent out my home/hrs work monthly: 0 / Sec trading hrs: 0 / Temporarily rent out my home Sunny Hills High School / 0207-Present / INVESTMENT RELATED: NO /1801 Lancer Way Fullerton, CA 92833 / Math Teacher / Education/ hrs work monthly: 196 / Sec trading hrs: 0 / Teaching Function Academy / 0720-present / Investment Related: No / 195 Tarocco, Irvine, CA 92618 / Teacher / Education / Hrs Work Monthly: 8 / Sec Trading Hrs: 0 / My responsibility is to teach and tutor highs school and college students in various mathematics related course including algebra Calculus, and financial mathematics. I help them with difficult concepts, [problem solving, and homework assignments.
CRS (Client Relationship Summary) - RIA
Click below to view Zhaoxia Tan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Zhaoxia Tan'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®
CFP®
Start date: 2013
Experience
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 16870 W. Bernardo Dr., San Diego, CA 92127RIA
BD
CRD#: 16164
San Diego, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 16870 W. Bernardo Dr., San Diego, CA 92127RIA
BD
CRD#: 16164
San Diego, CA
Past
September 10, 2010 - January 6, 2012
INVESTMENT ADVISORS INTERNATIONAL, INC.
RIA
CRD#: 139233
SAN DIEGO, CA
Past
November 25, 2008 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
SAN DIEGO, CA
Past
October 29, 2007 - January 7, 2008
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ANAHEIM, CA
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)
IAR
California(1/6/2012)
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.
