Joyce Ghu
TRANSAMERICA FINANCIAL ADVISORS
Alpharetta, GA 30005
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CRD#: 5233012
Professional summary
Joyce Ghu, CFP®, who also goes by Joyce Yoon Ghu, Joyce Myungeun Yoon, Myung Eun Yoon, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Alpharetta, Georgia.
Joyce is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2007. Joyce has worked at 4 firms and has passed the Series 66, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Joyce Yoon Ghu | Joyce Myungeun Yoon | Myung Eun Yoon
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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc BEST ACCOUNTING amp; TAX SOLUTIONS LLC/Investment Related - No/3575 KOGER BLVD STE 100 DULUTH, GA 30096 /TAX amp; ACCOUNTING FIRM/MANAGING PARTNER/01.2018/110/50/I OVERSEE THE OPERATION, PROVIDE GUIDANCE TO EMPLOYEES, AND CONSULT CLIENTS. JOYCE GHU/Investment Related - No/3720 DAVINCI COURT STE 150 PEACHTREE CORNERS, GA 30092 TEL: 770-570-2843/I SELL FIXED INSURANCE PRODUCTS THROUGH THIS OBA: GROUP HEALTH INSURANCE, FIXED LIFE, DISABILITY INCOME, LONG TERM CARE, FIXED ANNUITY PRODUCTS./INSURANCE AGENT/07.2016/10/0/I SELL FIXED INSURANCE PRODUCTS. NETLAW.COM POSITION: Investment Advisor Representative NATURE: online legal service INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 08/15/2022 ADDRESS: 12910 Shelbyville road, Ste 124, Louisville KY 40243, United States DESCRIPTION: WFG currently has a relationship with this vendor, Netlaw. VIRTUES OF AGING PROFESSIONALS INC POSITION: TREASURER NATURE: BOARD MEMBER INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 09/15/2023 ADDRESS: 1865 MERCEDES CT NE, ATLANTA GA 30345, United States DESCRIPTION: I DO BOOKKEEPING OF THIS NON-PROFIT ORGANIZATION.
CRS (Client Relationship Summary) - RIA
Click below to view Joyce Ghu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Joyce Ghu'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: 2019
Experience
Current
June 25, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Current
June 24, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 190 Bluegrass Valley Pkwy., Alpharetta, GA 30005RIA
BD
CRD#: 16164
Alpharetta, GA
Past
March 25, 2017 - June 11, 2021
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
Peachtree Corners, GA
Past
March 25, 2017 - June 11, 2021
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
Peachtree Corners, GA
Past
November 17, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
RIA
CRD#: 14251
ATLANTA, GA
Past
August 5, 2014 - March 25, 2017
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ATLANTA, GA
Past
January 1, 2007 - March 12, 2007
METROPOLITAN LIFE INSURANCE COMPANY
BD
CRD#: 4095
ATLANTA, GA
Past
January 1, 2007 - March 12, 2007
MSI FINANCIAL SERVICES, INC.
BD
CRD#: 14251
ATLANTA, 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
Alabama(7/29/2021)
RR
California(7/9/2025)
RR
Georgia(6/24/2021)
IAR
Georgia(6/25/2021)
RR
New Jersey(8/20/2021)
IAR
New Jersey(8/23/2021)
RR
New York(10/12/2023)
RR
Texas(6/5/2024)
RR
Virginia(7/29/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product 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.
