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Detailed Report
Ying Shi
Tina Shi
CRD#: 7620803
IA
Investment Adviser
B
Broker
TRANSAMERICA FINANCIAL ADVISORS, LLCCRD#: 16164 390 Bridge Pkwy.,#250
Redwood City, CA 94065
Registration History
2022AprJulOct2023AprJulOct2024AprJulOct2025AprJulOct20262 FIRMS2022 - Present (2 years)
License(s)

State Registrations

B
California 10/10/2022
IA
New Jersey 4/4/2023
IA
California 10/25/2022
B
New York 8/8/2023
B
New Jersey 4/4/2023

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)
390 Bridge Pkwy.,#250, Redwood City, CA 94065
Registered with this firm since 10/25/2022
B
TRANSAMERICA FINANCIAL ADVISORS, LLC (CRD#:16164)
390 Bridge Pkwy.,#250, Redwood City, CA 94065
Registered with this firm since 9/23/2022
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.