Janice Ngoc-Tran Vuong
Investment Adviser Representative at Transamerica Financial Advisors, LLC
Professional summary
Compiled by AdvisorFinder from public regulatory records. This advisor has not provided a personal biography.
Janice Ngoc-Tran Vuong is an investment adviser representative with Transamerica Financial Advisors, LLC in West Covina, CA, where they have been registered since 2021. They have worked in the securities industry since 2017. They have passed 4 industry qualification exams, including the Series 65 (investment adviser), Series 63 (state securities agent), and Series 6 (investment company and variable products). They are registered to provide investment advice in California.
Office
Advisors at this office: 2
Branch office as filed with FINRA, counting current advisors in the directory who work there.
Registrations & licenses
- Investment adviser:
- California
- Broker:
1 state or territory
California
Registration requirements vary by state and service. Contact the advisor's firm to confirm whether they can serve you.
Financial-firm registration history
Registration history as reported to FINRA, most recent first.
Reported employment history
Employment the advisor reported on their SEC/FINRA filings, as of October 8, 2026. It may not be a complete history.
- CAL Connect Insurance Services, LLCJul 2015 – Jan 2023Pasadena, CA
- Transamerica Financial Advisors, IncSep 2017 – no end date reportedWest Covina, CA
- WfgiaSep 2014 – no end date reportedWest Covina, CA
- Delta DentalJan 2018 – no end date reportedSacramento, CA
- Morgan White GroupJun 2018 – no end date reportedJackson, MS
- Janice Vuong - Health Insurance ServicesMar 2020 – no end date reportedFountain Valley, CA
- Anneta Insurance Solutions Inc.Jun 2021 – no end date reportedSan Gabriel, CA
Official records & sources
Data as of May 30, 2026 · Source: SEC IAPD & FINRA BrokerCheck
About Transamerica Financial Advisors, LLC
These details describe the firm overall. Individual advisors' services, clients, and fees may differ.
Fee arrangements the firm reports
- Percentage of assets under management
Arrangements the firm reports on its Form ADV; this advisor may not charge every fee listed. Estimated from the firm's Form ADV — individual terms may differ. Not a quote.
Services the firm offers
Client types the firm serves
Firm assets under management
$1B–$5B
- Firm disclosures (Form ADV)
- Disciplinary history reportedVerify on SEC IAPD
- Advisors listed on AdvisorFinder:
- 1,109
- Offices listed on AdvisorFinder:
- 26
- Main office:
- Philadelphia, PA
- SEC file number:
- 801-38618
Counts reflect AdvisorFinder directory coverage, not necessarily the firm's complete network.
Form ADV data as of March 31, 2026
View full firm profileOther advisors at Transamerica Financial Advisors, LLC
Showing 12 of 1,109 in the directory
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This profile was compiled and published by AdvisorFinder as editorial content using publicly available information from the SEC's IAPD database and FINRA BrokerCheck. Janice Ngoc-Tran Vuong has not reviewed, approved, or endorsed this profile and is not responsible for its accuracy. Regulatory records change over time — always verify the current record directly on BrokerCheck or SEC.gov before making any decision. AdvisorFinder may be compensated for referrals generated through this page.
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