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Detailed Report
JANICE NGOC-TRAN VUONG
CRD#: 6857857
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 2707 E. VALLEY BLVD
SUITE 316 A
WEST COVINA, CA 91792
Registration History
2017201820192020202120222023202420252026IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2021 - Present (3 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2017 - Present (7 years)
License(s)

State Registrations

B
California 12/4/2017
IA
California 4/30/2021

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)
2707 E. VALLEY BLVD SUITE 316 A, WEST COVINA, CA 91792
Registered with this firm since 4/30/2021
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
2707 E. VALLEY BLVD SUITE 316 A, WEST COVINA, CA 91792
Registered with this firm since 11/6/2017
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.