Eric K. Doan
TRANSAMERICA FINANCIAL ADVISORS | Investment Advisor Representative
Dallas, TX 75243
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CRD#: 7430333
Professional summary
Eric Khang Doan is a registered financial advisor currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Dallas, Texas.
Eric is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2021. Eric has worked at 1 firm and has passed the Series 63, Series 65, 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 and non-insurance products, part-time or full-time, for companies affiliated with Transamerica Financial Advisors, Inc. WSB is a co-brand that is used by agents affiliated with World Financial Group Insurance Agency, an insurance agency affiliate of Transamerica Financial Advisors, LLC. 09/2018PRESENTWorld System Builders (WSB)AlvisoCaliforniaUnited StatesYesNA LSPN Pro, LLC/no/ 100 N State Street STE B Lindon, UT 84042/Independent Contractor / 4/01/2022 Estate Planning service 5/1/ Client communications marketing and referring potential Clients / approved with restrictions LIVING SECURE INSURANCE ADVISOR, INC/Investment Related - No/7757 W FLAGLER ST SUITE 210 MIAMI, FL 33144 (305)602-0436/Obamacare health insurance enrollment services/Independent agent/01.2020/5/0/Independent agent that helps enroll clients in Obamacare health insurance plans during open enrollment. HUMANA/Investment Related - No/Humana Inc./ 500 West Main Street Louisville, Kentucky 40202/Dental and Vision insurance/Independent agent/08.2019/5/0/Enroll clients in individual vision/dental insurance plans. ALLIED MARKETING INSURANCE POSITION: Independent agent NATURE: Insurance sales INVESTMENT RELATED: No NUMBER OF HOURS: 60 SECURITIES TRADING HOURS: 2 START DATE: 12/01/2022 ADDRESS: 6925 Lake Ellenor Dr, Suite 450, Orlando FL 32809, United States DESCRIPTION: Expected activities include helping clients enroll in individual/family health insurance plans. DOAN INSURANCE GROUP, LLC POSITION: Manager NATURE: Insurance (life, health, vision, dental) & Medicare INVESTMENT RELATED: No NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 6 START DATE: 03/06/2023 ADDRESS: 3108 Lee Shore Loop, Orlando FL 32820, United States DESCRIPTION: Prospect, contact, and sell clients with insurance products (life, health, vision and dental insurance) - Kimberly Doan will plans to solicit Medicare business later this year but I will not) INHERITGUARD, LLC POSITION: NOT APPLICABLE/NONE NATURE: PROVIDING BUNDLED PROFESSIONAL SERVICES WITH EMPHASIS ON ESTATE PLANNING SERVICES INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 07/03/2024 ADDRESS: 30 N Gould Street, STE 41954, SHERIDAN WY 82801, United States DESCRIPTION: CLIENT COMMUNICATIONS, FOLLOW UP WITH CLIENT ISSUES, PROVIDE EDUCATION ON ESTATE PLANNING ISSUES, SCHEDULE APPOINTMENTS. LEGACYSHIELD SOLUTIONS, INC. POSITION: None NATURE: Estate Plans (trust and wills) INVESTMENT RELATED: No NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 08/12/2024 ADDRESS: 1 Linscott Rd, Woburn MA 01810, United States DESCRIPTION: Communicate with client, educate on basic importance of estate plan and refer/coordinate appointment with LegacyShield attorney.
CRS (Client Relationship Summary) - RIA
Click below to view Eric Khang Doan's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Eric Khang Doan'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
December 20, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13111 N. Central Expwy Suite 2500-dt, Dallas, TX 75243RIA
BD
CRD#: 16164
Dallas, TX
Current
November 6, 2021 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 13111 N. Central Expwy Suite 2500-dt, Dallas, TX 75243RIA
BD
CRD#: 16164
Dallas, TX
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(8/5/2024)
RR
Colorado(6/28/2024)
RR
Florida(11/6/2021)
RR
Georgia(5/15/2024)
IAR
North Carolina(3/24/2022)
RR
North Carolina(4/14/2023)
RR
Texas(10/14/2024)
IAR
Texas(10/15/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 6TO
Date: 11/6/2021
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.
Company Information
TRANSAMERICA FINANCIAL ADVISORS, LLC
Investment Advisor RepresentativeCRD#: 16164Dallas, TX 75243TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
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