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Junwei Liu

Transamerica Financial Advisors, LLC
21 Years of Experience
West Covina, CA
1 DisclosureBrokerSells Insurance
View SEC Summary
View SEC Summary

Junwei Liu is a registered investment advisor at Transamerica Financial Advisors, LLC, based in West Covina, CA, with 21 years of industry experience. Junwei is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management, Retirement Planning. Their firm serves 42,735 clients with $2.1B in assets under management.

Transamerica Financial Advisors, LLC
Compensation
Fee-Only (% of Portfolio)
Firm Size
1121 advisors
Number of Clients
42,735 clients
Average Client Portfolio
$49K average
Assets Under Management
$2.1B

Fee Structure

Investment management only (planning not offered)
Portfolio-Based Fees (Flat)
Portfolio ValueAnnual Fee
Any2.75%

Maximum total annual program fees are up to 2.75% for TFA365 and third-party manager programs, and up to 2.0% for Transamerica ONE. Fees vary based on the specific program, model portfolios selected, and negotiations with your investment advisor representative.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

1000 Lakes Dr, Suite 200, West Covina, CA, 91790

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History

Regulatory History (1)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
November 2014
Denied
View Full SEC ReportHow to Read Disclosures
Other Business ActivitiesSells Insurance

Junwei is an insurance agent with Transamerica Agency Network (TAN) since 2014, selling insurance products for companies affiliated with Transamerica Financial Advisors, Inc.

Employment History
Current Registrations
Transamerica Financial Advisors, LLCBroker
June 2018 - Present · 8 yrs 4 mos
Transamerica Financial Advisors, LLC
June 2018 - Present · 8 yrs 4 mos
Previous Registrations
E-W Investment Counsel, a Division of E-W Investments, INC.
April 2016 - June 2016 · 2 mos
Sagepoint Financial, INC.
February 2014 - May 2014 · 3 mos
Sagepoint Financial, INC.Broker
February 2014 - May 2014 · 3 mos
J.K. Financial Services, INC.Broker
April 2012 - April 2013 · 1 yr
Waddell & Reed, INC.Broker
November 2008 - May 2010 · 1 yr 6 mos
Waddell & Reed, INC.
November 2008 - May 2010 · 1 yr 6 mos
Fortune Securities, INC.Broker
November 2007 - November 2008 · 1 yr
Prudential Financial Planning Services
October 2003 - November 2007 · 4 yrs 1 mo
Pruco Securities, LLC.Broker
March 2003 - November 2007 · 4 yrs 8 mos
AXA Advisors, LLC
February 2000 - February 2003 · 3 yrs
AXA Advisors, LLCBroker
September 1998 - February 2003 · 4 yrs 5 mos
The Equitable Life Assurance Society of the United StatesBroker
September 1998 - January 2000 · 1 yr 4 mos
State Registrations1 state
CA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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Junwei Liu - Financial Advisor | TrueAdvisor