XW
Xiaodong Wu
TRANSAMERICA FINANCIAL ADVISORS
Waltham, MA 02451
Some features on this profile are disabled
CRD#: 6497087
XW
Professional summary
Xiaodong Wu is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Waltham, Massachusetts.
Xiaodong is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Xiaodong has worked at 1 firm 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. Empower Team/ 0918-Present/ Investment Related: No /430 Bedford St. Suite 100 Lexington, MA 02420/ Partner/ Empower Team LLC was established for the purpose of renting an office space for our new TFA registered branch operation. There would be no payrolls or products associated with the LLC. / Hrs Work Monthly: 0/ Sec Trading Hrs: 0 / Conduct TFA and WFG business Nationwide (Nationwide Employee Benefits)/ 0120-Present/ Investment Related: Yes / One Nationwide Plaza Columbus, OH 43215 / Independent contractor / Insurance sales / Hrs Work Monthly: 1 / Sec Trading Hrs: 0 / Work on a part time basis as an independent contractor to sell group insurance plans offered by Nationwide HSA Insurance/ 0619-Present/ Investment Related: No/135 wood Road Braintree, MA 02184/ Independent Contractor/ Providing health insurance to small businesses, the self-employed and individuals/ Hrs Work Monthly: 2 / Sec Trading Hrs: 0 / Marketing health insurance plans to help meet clients' health insurance needs Principal Life Insurance Company/ 0720-Present / Investment Related: No / 711 High Street Des Moines, IA 50392 / Agent / Insurance Sales / Hrs Work Monthly: 2 / Sec Trading Hrs: 0 / Provide group benefit plans, such as life, disability, dental and vision insurance for business entities. BAVVY/MILLIMAN POSITION: Contractor NATURE: health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 11/22/2022 ADDRESS: 18205 Capitol Ave, Suite 400, Omaha NE 68022, United States DESCRIPTION: Sell health insurance plans. INTERNATIONAL MEDICAL GROUP, INC. POSITION: Agent NATURE: travel health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/13/2023 ADDRESS: 2960 North Meridian Street, Indianapolis, IN 46208 IN 46208, United States DESCRIPTION: Selling travel health insurance plans. MASSACHUSETTS HEALTH CONNECTOR POSITION: Agent NATURE: Health insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2023 ADDRESS: 133 Portland Street, Boston MA 02114, United States DESCRIPTION: Selliing health insurance plans GARITY ADVANTAGE POSITION: Contractor NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 0 START DATE: 01/17/2024 ADDRESS: 17 Accord Dr, Norwell MA 02061, United States DESCRIPTION: Sell health insurance COVERED CALIFORNIA / POSITION: Independent Contractor NATURE: Health insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 0 START DATE: 06/05/2024 ADDRESS: 1601 Exposition Blvd, Sacrament CA 95815 \ DESCRIPTION: Health insurance sales RESOLUTION LIFE/SECURITY LIFE OF DENVER INSURANCE COMPANY POSITION: Independent Contractor NATURE: Life insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/22/2024 ADDRESS: 1475 Dunwoody Drive, West Chester PA 19380, United States DESCRIPTION: Service life insurance policy VSP VISION CARE POSITION: Independent Contractor NATURE: vision insurance INVESTMENT RELATED: No NUMBER OF HOURS: 1 SECURITIES TRADING HOURS: 1 START DATE: 11/22/2024 ADDRESS: 3333 Quality Drive, Rancho Cordova CA 95670, United States DESCRIPTION: vision insurance sales
CRS (Client Relationship Summary) - RIA
Click below to view Xiaodong Wu's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Xiaodong 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
January 3, 2022 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 75 Third Ave Suite 310, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
Current
July 6, 2015 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 75 Third Ave Suite 310, Waltham, MA 02451RIA
BD
CRD#: 16164
Waltham, MA
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(7/2/2020)
RR
Colorado(9/6/2016)
RR
Illinois(9/23/2021)
RR
Massachusetts(7/8/2015)
IAR
Massachusetts(1/3/2022)
RR
Michigan(6/2/2025)
RR
New Jersey(4/1/2020)
RR
North Carolina(3/3/2025)
RR
Texas(2/4/2021)
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#: 16164Waltham, MA 02451TRUST BUT VERIFY
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