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Olivia E. Ong
TRANSAMERICA FINANCIAL ADVISORS
Beaverton, OR 97005
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CRD#: 7408214
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Professional summary
Olivia En-chia Ong is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Beaverton, Oregon.
Olivia is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Olivia has worked at 1 firm and has passed the Series 65, Series 63, Series 6TO and SIE 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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc Business Network International | Participant | networking | not investment related | 10/2024 | Charlotte, NC BUSINESS NETWORK INTERNATIONAL POSITION: Participant NATURE: Networking INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 10/20/2024 ADDRESS: 3430 Toringdon Way, Suite 300, Charlotte NC 28277, United States DESCRIPTION: Meeting once per week for an hour to share and educate each other on our business offerings. Once or twice a month social mixers. METROPOLITAN SENIOR NETWORK POSITION: Member/Participant/Volunteer/Connector NATURE: Networking, Education INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 0 START DATE: 09/03/2025 ADDRESS: PO Box 325, Clackamas OR 97015, United States DESCRIPTION: Attend monthly meetings, volunteer as connector - i.e. to schedule 1-1 meetings with visitors to get to know them and connect them with who they want to connect with in the community, talk to them about the mission of Metropolitan Senior Network - folks/business coming together for providing services to seniors with the highest integrity and quality; - New Member Onboarding: Welcome new members, introduce them to others, and helpthem get involved in MSN.- Event Promotion: Spread the word about upcoming events and encourage attendance. - post socially about networking events on IG, linkedin, FB, etc.- Member Engagement: Stay in touch with members, check in on their needs, and help themconnect with one another.- Gathering Feedback: Listen to members' experiences and report feedback to theleadership team for continuous improvement.- Representing MSN: Be a positive and professional representative of MSN.
CRS (Client Relationship Summary) - RIA
Click below to view Olivia En-chia Ong's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Olivia En-chia Ong'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
August 30, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 4900 Sw Griffith Drive Suite 120, Beaverton, OR 97005RIA
BD
CRD#: 16164
Beaverton, OR
Current
July 19, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 4900 Sw Griffith Drive Suite 120, Beaverton, OR 97005RIA
BD
CRD#: 16164
Beaverton, OR
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
Arizona(4/4/2022)
RR
California(8/10/2021)
RR
Florida(2/24/2023)
RR
Illinois(6/8/2022)
RR
Indiana(3/25/2025)
RR
Kansas(4/4/2022)
RR
Maryland(8/10/2021)
RR
Nevada(3/14/2025)
RR
New York(4/8/2022)
RR
Ohio(3/26/2025)
RR
Oregon(8/2/2021)
IAR
Oregon(8/30/2021)
RR
Pennsylvania(3/20/2023)
RR
Texas(4/4/2022)
IAR
Texas(4/4/2022)
RR
Virginia(3/13/2025)
RR
Washington(8/10/2021)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 7/18/2021
Investment Company Products/Variable Contracts Representative ExaminationGeneral 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.
