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Detailed Report
Vi QUANG Lieu
JOHN QUANG LIEU, JOHN LIEU, John Quang Lieu
CRD#: 2823747
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 9449 BALBOA AVE
STE 114-B
SAN DIEGO, CA 92123
Registration History
19961998200020022004200620082010201220142016201820202022202420262 FIRMS2009 - 2011 (1 year)2 FIRMS2012 - 2015 (3 years)2 FIRMS2017 - 2019 (2 years)2 FIRMS2021 - Present (3 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2005 - 2008 (3 years)BTD WATERHOUSE INVESTOR SERVICE... (CRD# 7870)1997 - 2003 (5 years)BKENNEDY, CABOT & CO. (CRD# 2417)1997 - 1997 (<1 year)BWMA SECURITIES, INC. (CRD# 32625)1996 - 1997 (<1 year)
License(s)

State Registrations

IA
California 10/13/2021
B
California 10/14/2021

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
9449 BALBOA AVE STE 114-B, SAN DIEGO, CA 92123
Registered with this firm since 10/13/2021
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
9449 BALBOA AVE STE 114-B, SAN DIEGO, CA 92123
Registered with this firm since 10/14/2021
Previous Registration(s)
th hidden textth hidden textNameLocation
IA
 12/04/2017 - 12/04/2019 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) HUNTINGTON BEACH, CA
B
 12/05/2017 - 12/04/2019 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) HUNTINGTON BEACH, CA
IA
 06/26/2012 - 12/26/2015 TRANSAMERICA FINANCIAL ADVISORS, INC. (CRD#:16164) SAN DIEGO, CA
B
 06/26/2012 - 12/26/2015 TRANSAMERICA FINANCIAL ADVISORS, INC (CRD#:16164) SAN DIEGO, CA
IA
 12/18/2009 - 03/03/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAKESIDE, CA
B
 09/15/2009 - 03/03/2011 CHASE INVESTMENT SERVICES CORP. (CRD#:25574) LAKESIDE, CA
B
 02/23/2005 - 10/31/2008 WORLD GROUP SECURITIES, INC. (CRD#:114473) SAN DIEGO, CA
B
 11/07/1997 - 06/17/2003 TD WATERHOUSE INVESTOR SERVICES, INC. (CRD#:7870) OMAHA, NE
B
 06/06/1997 - 11/07/1997 KENNEDY, CABOT & CO. (CRD#:2417) BEVERLY HILLS, CA
B
 12/02/1996 - 05/28/1997 WMA SECURITIES, INC. (CRD#:32625) DULUTH, GA
For additional information about investment advisers or broker-dealers, please visit
www.investor.gov
B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.