DY
Diana W. Yang
TRANSAMERICA FINANCIAL ADVISORS
Flushing, NY 11354
Some features on this profile are disabled
CRD#: 6889159
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Professional summary
Diana W Yang, who also goes by Diana Wenjian Zheng, is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Flushing, New York.
Diana is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2017. Diana 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
Diana Wenjian Zheng
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. Creliable Tax Consulting | 01/2023 | investment related | Tax Consulting | Boston, MA | consultant ANJIAMEIGUO CONSULTING LLC | 01/2014 | Director | Stamford, CT | investment related The Standford Board of Realtors, LLC| 03/2022 | Stamford, CT | Affiliation Member | investment related | Myday Partners LLC / 0921-Present / Investment Related: No / 209 Shelter Rock Road Stamford, CT 06903 / Managing partner / Rental Property/ Hrs. Work Monthly: 1 / Sec Trading Hrs: 0 / managing the property, filing taxes, keeping the book. DIANA YANG CPA LLC/Investment Related - No/209 SHELTER ROCK ROAD STAMFORD, CT 06903/tax preparation service/CPA practitioner/09.2009/4/0/tax service DAY SOFTWARE SYSTEMS INC/software development- no new activities and development for the past 7 years/owner officer/10.1995/1/0/filing taxes DND GROUP LLC/Investment Related - Yes/209 SHELTER ROCK ROAD STAMFORD, CT 06903/REAL ESTATE PROPERTY OWNER , SELF-MANAGING THE PROPERTY/OWNER/4.2013/1/1/REAL ESTATE PROPERTY OWNER , SELF-MANAGING THE PROPERTY KELLY WILLIAMS PRESTIGE PROPERTIES STAMFORD CT POSITION: referral agent NATURE: Real estate referral INVESTMENT RELATED: No NUMBER OF HOURS: 0 SECURITIES TRADING HOURS: 0 START DATE: 01/15/2023 ADDRESS: 2777 Summer Street, Stamford CT 06905, United States DESCRIPTION: I am not actively doing real estate business anymore. I still have my CT real estate license. Parking my license as referral agent, I can keep my license. I may have old real estate clients would sell their home in the future. Being a referral agent, I can collect some commission. FREEDOM PATH CONSULTING INC. POSITION: CEO owner NATURE: pass through bookkeeping for WFG business INVESTMENT RELATED: No NUMBER OF HOURS: 2 SECURITIES TRADING HOURS: 2 START DATE: 09/05/2024 ADDRESS: 209 Shelter Rock Road, Stamford CT 06903, United States DESCRIPTION: This entity is used for pass through bookkeeping for WFG business.
CRS (Client Relationship Summary) - RIA
Click below to view Diana W Yang's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Diana W Yang'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 25, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 37-20 Prince Street Suite 2a, Flushing, NY 11354RIA
BD
CRD#: 16164
Flushing, NY
Current
December 21, 2017 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 37-20 Prince Street Suite 2a, Flushing, NY 11354RIA
BD
CRD#: 16164
Flushing, NY
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
Connecticut(1/25/2018)
IAR
Connecticut(3/25/2021)
RR
New York(1/25/2018)
IAR
New York(3/25/2021)
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.
