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Detailed Report
Yang Xu
CRD#: 7380175
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 1 TECHNOLOGY DRIVE
SUITE J709
IRVINE, CA 92618
Registration History
20222023202420252026IATRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2023 - Present (2 years)BTRANSAMERICA FINANCIAL ADVISOR... (CRD# 16164)2022 - Present (3 years)
License(s)

State Registrations

B
California 6/10/2022
IA
California 3/15/2023

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 3/15/2023
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
1 TECHNOLOGY DRIVE SUITE J709, IRVINE, CA 92618
Registered with this firm since 2/11/2022
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.