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Detailed Report
XIAOYING SHI
SANDRA SHI
CRD#: 3106228
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 1 TECHNOLOGY DRIVE
SUITE J709
IRVINE, CA 92618
Registration History
1998200020022004200620082010201220142016201820202022202420262 FIRMS2012 - Present (13 years)BWORLD GROUP SECURITIES, INC. (CRD# 114473)2002 - 2012 (9 years)BWMA SECURITIES, INC. (CRD# 32625)1998 - 2002 (3 years)IAINVESTMENT ADVISORS INTERNATIO... (CRD# 139233)2010 - 2012 (1 year)
License(s)

State Registrations

B
California 1/6/2012
IA
California 1/6/2012

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)
1 TECHNOLOGY DRIVE SUITE J709, IRVINE, CA 92618
Registered with this firm since 1/6/2012
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
1 TECHNOLOGY DRIVE SUITE J709, IRVINE, CA 92618
Registered with this firm since 1/6/2012
Previous Registration(s)
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IA
 03/25/2010 - 01/06/2012 INVESTMENT ADVISORS INTERNATIONAL, INC. (CRD#:139233) FRESNO, CA
B
 04/12/2002 - 01/06/2012 WORLD GROUP SECURITIES, INC. (CRD#:114473) FRESNO, CA
B
 09/22/1998 - 04/12/2002 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.