JW
Jing Wu
TRANSAMERICA FINANCIAL ADVISORS
Arcadia, CA 91006
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CRD#: 5030940
JW
Professional summary
Jing Wu is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Arcadia, California.
Jing is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Jing has worked at 2 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 Jing Wu Rental Property; Investment Related,yes; 3223 N Ventura Rd. Oxnard, CA 93036; Real Estate Rental Property, 08/2019; 4 monthly hours; hours during securities trading 0; Contat rental agency regarding property rental, tenant search and maintenance issues, collect rents, book keeping and tax filing Famous Garden, Inc./0910-Present/Investment Related: No/8808 Mission Drive Suite 101 Rosemead, CA 91770/Landscape Architect/Planning and Landscape Design studio/Hrs. Work: 120 Sec Trading: 6 / Landscape design work and CAD production. Project management, Contracts and billings JING WU, INDEPENDENT FACILITATOR POSITION: Independent Facilitator NATURE: Advocate for disabilities INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 2 START DATE: 09/01/2022 ADDRESS: 1609 Cambridge Ct, West Covina CA 91791, United States DESCRIPTION: "Independent facilitator" means a person, selected and directed by the participant, who is not otherwise providing services to the participant pursuant to their IPP and is not employed by a person providing services to the participant. The independent facilitator may assist the participant in making informed decisions about the individual budget, and in locating, accessing, and coordinating services and supports consistent with the participant's IPP. The independent facilitator is available to assist in identifying immediate and long-term needs, developing options to meet those needs, leading, participating, or advocating on behalf of the participant in the person-centered planning process and development of the IPP, and obtaining identified services and supports. The cost of the independent facilitator, if any, shall be paid by the participant out of the participant's individual budget. An independent facilitator shall receive training in the principles of self-determination, the person-centered planning process, and the other responsibilities described in this paragraph at the independent facilitator's own cost. 4685.8(c)(2) https://www.dds.ca.gov/initiatives/sdp/independent-facilitators/ IHSS PROVIDER POSITION: Jing Wu, IHSS Provider NATURE: In home support services for disabled family and others INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 12/31/2022 ADDRESS: 1609 Cambridge Ct, West Covina CA 91791, United States DESCRIPTION: I will be the primary IHSS care taker of my ASD son,helping him with his daily self help activities, taking him to doctor and therapy appointments, cooking. CHINESE PARENTS ASSOCIATION FOR THE DISABLED POSITION: Board member NATURE: 501(c)(3) Non profit organization for the disability community INVESTMENT RELATED: No NUMBER OF HOURS: 6 SECURITIES TRADING HOURS: 0 START DATE: 04/20/2023 ADDRESS: P.O. Box 2884, San Gabriel CA 91778-2884, United States DESCRIPTION: 1. Will be attending board meeting once a month via zoom and discuss anything related to CPAD. 2. Facilitate and organize trainings, events, classes and activities using government grants and donation funding. FRANKLIN FOUNDATION \ POSITION: Parents' executive committee member NATURE: Non Profit INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 05/01/2024 \ ADDRESS: 2345 California Ave, Duarte CA 91010\ DESCRIPTION: 1. Event hosting. 2. Autism Resources
CRS (Client Relationship Summary) - RIA
Click below to view Jing Wu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Jing Wu'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
September 16, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 444 E. Huntington Drive Suite 207, Arcadia, CA 91006RIA
BD
CRD#: 16164
Arcadia, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 444 E. Huntington Drive Suite 207, Arcadia, CA 91006RIA
BD
CRD#: 16164
Arcadia, CA
Past
March 31, 2006 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
ALHAMBRA, 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
Arizona(1/31/2022)
RR
California(1/6/2012)
IAR
California(9/16/2021)
RR
Colorado(3/14/2022)
RR
Massachusetts(1/6/2012)
RR
New York(1/6/2012)
RR
Virginia(6/30/2020)
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164Arcadia, CA 91006TRUST BUT VERIFY
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