JV
Janice N. Vuong
TRANSAMERICA FINANCIAL ADVISORS
West Covina, CA 91792
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CRD#: 6857857
JV
Professional summary
Janice Ngoc-tran Vuong is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in West Covina, California.
Janice is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Janice 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. Anneta Insurance Solutions Inc../ 0621-Present / Investment Related: No /529 E Valley Blvd Suite 228-C San Gabriel, CA 91776 /Agent/ Medicare Health Insurance / Hrs Work Monthly: 20 / Sec Trading Hrs: 1/ Offer Medicare insurance plan solutions to senior population. DELTA DENTAL/NOT INVESTMENT RELATED/INSURANCE BROKER/1.1.2018/P.O. BOX 997330, SACRAMENTO, CALIFORNIA 95899/PROVIDES DENTAL INSURANCE TO CONSUMERS./TO PROVIDE MY HEALTH INSURANCE CLIENTS WITH A DENTAL INSURANCE OPTION IF REQUESTED./HOURS:1 MORGAN WHITE GROUP/ 0618-PRESENT / INVESTMENT RELATED: NO / 5722 I-55 NORTH JACKSON, MS 39211 / AGENT / DENTAL AND VISION INSURANCE BROKER SERVICES. / HRS WORK MONTHLY: 1 / SEC TRADING HRS: 0 / THIS OBA WILL ALLOW ME TO OBTAIN MULTIPLE QUOTE FOR DENTAL AND VISION INSURANCE FOR MY CLIENTS IN THE EVENT MY CLIENTS ASK ME TO HELP THEM FIND A DENTAL OR VISION INSURANCE PLAN Janice Vuong - Health Insurance Services /0320-Present / Investment Related: No / 10115 La Quinta Circle Fountain Valley, CA 92708 / Health Insurance Agent / Health Insurance Sales/ Hrs Work Monthly: 20 / Sec Trading Hrs: 1 / Provide Health related insurance solutions to individuals, families and businesses. Includes offerings under CCIS - Medicare Advantages
CRS (Client Relationship Summary) - RIA
Click below to view Janice Ngoc-tran Vuong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Janice Ngoc-tran Vuong'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
April 30, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2707 E. Valley Blvd Suite 316 A, West Covina, CA 91792RIA
BD
CRD#: 16164
West Covina, CA
Current
November 6, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2707 E. Valley Blvd Suite 316 A, West Covina, CA 91792RIA
BD
CRD#: 16164
West Covina, 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(12/4/2017)
IAR
California(4/30/2021)
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.
