BC
Barbara Chie Leon
TRANSAMERICA FINANCIAL ADVISORS
Pleasanton, CA 94566
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CRD#: 5781160
BC
Professional summary
Barbara Chie Leon is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Pleasanton, California.
Barbara is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Barbara has worked at 2 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 products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc.
NOVARTIS; NOT INVESTED RELATED; 4560 HORTON ST BUILDING 4, EMERYVILLE CA 94608; RESEARCH OF PROTEIN-PROTEIN AND PROTEIN-SMALL MOLECULAR INTERACTIONS; SCIENTIST - RESEARCH DEVELOPMENT; 160 HRS/MONTH; GROW CELLS, AND EXTRACT THE PROTEIN OF INTEREST VIA COLUMN PURIFICATION TECHNIQUES. I WILL RUN GEL TO ANALYZE THE PROTEIN AND PROCESS. I WILL MAKE LAB REAGENTS AS NEEDED TO STABILIZE THE PROTIEN OF INTEREST. MY RESPONSIBILITIES ALSO INCLUDE MAINTAINING A RESEARCH NOTEBOOK TO DOCUMENT EXPERIMENTS AND TO COMMUNICATE WITH COLLEAGUES ON THE STATUS OF CURRENT AND THE FUTURE PATH FOR POTENTIAL PROJECTS. I WILL ALSO NEED TO PRESENT SUCH DATA ON A NEEDED BASIS.
RENTAL PROPERTY; 1144 TARUP CREEK ROAD, CHULA VISTA CA 91913; SINGLE FAMILY RENTAL PROPERTY; OWNER/LANDLORD; 1/2002; 1 HRS/MONTH; COLLECT RENT AND MAKE SURE THE HOME IS MAINTAINED TO ALL CODES THAT PROMOTE GOOD AND WORKING LIVING CONDITIONS TO MY TENANT(S)
Leukemia and Lymphoma Society, Team in Training/NO/9150 Chesapeake Drive San Diego CA 92123/volunteer/Affiliation with charity had a resticted application process. Leukemia and Lymphoma Society had informed me that I had made the team mid-october.. Fundraising and actual program does not start until November 5, 2011 when season actually starts
CRS (Client Relationship Summary) - RIA
Click below to view Barbara Chie Leon's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Barbara Chie Leon'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
March 21, 2018 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6700 Koll Center Pkwy Suite 160-p, Pleasanton, CA 94566RIA
BD
CRD#: 16164
Pleasanton, CA
Current
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 6700 Koll Center Pkwy Suite 160-p, Pleasanton, CA 94566RIA
BD
CRD#: 16164
Pleasanton, CA
Past
December 17, 2010 - January 6, 2012
WORLD GROUP SECURITIES, INC.
BD
CRD#: 114473
SAN DIEGO, 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(3/21/2018)
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.
