Chin Yu Hsieh
TRANSAMERICA FINANCIAL ADVISORS | Financial Professional
Bellevue, WA 98005
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CRD#: 7190949
Professional summary
Chin Yu Hsieh is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Bellevue, Washington.
Chin Yu is registered as a RR (Registered Representative) and started their career in finance in 2019. Chin Yu has worked at 1 firm and has passed the Series 63, SIE and Series 6TO exams.
Question & Answer
Are you a "fiduciary"?
No
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.
The advisor shows no other business activity.
CRS (Client Relationship Summary) - BD
Click below to view Chin Yu Hsieh'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
November 18, 2019 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 2330 130th Ave Ne Building C Suite 103, Bellevue, WA 98005RIA
BD
CRD#: 16164
Bellevue, WA
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.
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
Arizona(2/5/2021)
RR
California(12/23/2019)
RR
Colorado(1/11/2021)
RR
Connecticut(10/23/2020)
RR
Florida(6/23/2021)
RR
Georgia(3/17/2021)
RR
Illinois(1/12/2021)
RR
Iowa(5/18/2023)
RR
Louisiana(6/23/2021)
RR
Maryland(9/1/2021)
RR
Massachusetts(7/9/2020)
RR
Michigan(2/25/2022)
RR
Minnesota(1/6/2022)
RR
Nevada(4/16/2021)
RR
New Jersey(12/23/2019)
RR
New York(12/12/2019)
RR
North Carolina(6/8/2021)
RR
Ohio(12/2/2020)
RR
Pennsylvania(1/28/2021)
RR
Texas(9/2/2020)
RR
Utah(4/23/2021)
RR
Virginia(7/14/2021)
RR
Washington(5/26/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 6TO
Date: 10/25/2019
Investment Company Products/Variable Contracts Representative ExaminationSRO 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
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Financial ProfessionalCRD#: 16164Bellevue, WA 98005TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
xxxxxxx
