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Diana Ngocdung Nguyen

Transamerica Financial Advisors, Inc.

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About Diana Ngocdung Nguyen

Diana Nguyen is a financial advisor with over 20 years of experience in the financial services industry. Diana has a wide range of experience in securities, investment company products, and variable contracts. Diana is registered in 5 states and holds Series 6 and Series 63 securities licenses. Diana currently works with Transamerica Financial Advisors, Inc. and previously worked with WORLD GROUP SECURITIES, INC. and WMA SECURITIES, INC.

Firm Information

Diana Nguyen is currently registered with Transamerica Financial Advisors, Inc.. Transamerica Financial Advisors, Inc. is a registered investment advisor with over 1,100 investment advisor representatives, managing $1 billion to $10 billion in client assets. The firm offers a range of services, including portfolio management for individuals, selection of other advisors, and wrap fee program participation. It has been in business since 1984 and is headquartered in St. Petersburg, FL. The firm serves a diverse clientele, including individuals, high-net-worth individuals, pension plans, corporations, charitable organizations, and other institutions.
Transamerica Financial Advisors, Inc.

570 CARILLON PARKWAY

ST PETERSBURG, FL 33716-1202

$1.62B

Assets Under Management

Not reported

Total Clients

2,487

Total Financial Advisors

Services Offered

Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Diana Nguyen’s Registration & Firm History

CA

01/06/2012 - Present

Transamerica Financial Advisors, Inc. (ORANGE CA)

CA

04/13/2002 - 01/06/2012

WORLD GROUP SECURITIES, INC. (LOS ALAMITOS CA)

GA

12/10/2001 - 04/12/2002

WMA SECURITIES, INC. (DULUTH GA)

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Licenses & Designations

BC

Issued 06/29/1998

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 12/07/2001

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Diana Ngocdung Nguyen.
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