Adviser and broker representative · Transamerica Financial Advisors, LLC

Frank L. Duong

CRD 6540650 · Houston, TX

At a glance

Frank L. Duong is an investment adviser representative with Transamerica Financial Advisors, LLC in Houston, TX, according to the SEC’s Investment Adviser Public Disclosure records. The earliest registration on Frank’s SEC record dates to 2016, about 10 years ago. Frank is also registered as a broker representative.

Current advisory firm

Transamerica Financial Advisors, LLCSince July 2016Houston, TX · $2.1B in regulatory assets

SEC adviser record

Registered since: 2016 (10 years)
Designations: None on file
Exams: Series 63, Series 65
Registered in: 1 state
Also a broker representative: Yes
Disclosures on record: None

AtlasMembers

Frank’s office, career and moves

Their branch office with the firm’s business phone and website, every registration on their SEC record with dates, their employment history and outside business. Atlas members see all of it.

Branch office address, business phone and website: Locked
Previous firms, with start and end dates: Locked
Employment history: Locked
States they’re registered in: Locked
Outside business activities: Locked
When they joined their current firm, and their firm’s growth: Locked

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Something wrong? Ask for a correction. Source: the SEC’s Investment Adviser Public Disclosure records, as of October 2026. The full record, including any disclosure details, is on the SEC’s adviser search and FINRA BrokerCheck.

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