LICKHAI QUACH

LICKHAI QUACH is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 1901 RESEARCH BLVD., SUITE 100-KQ, ROCKVILLE, MD, 20850.

LICKHAI QUACH has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since January 06, 2012

Disclosure History

LICKHAI QUACH has 3 Disclosure Event(s).

Date: October 07, 2010
Category: Judgment / Lien
Judgment/Lien Amount: $27,695.38
Judgment/Lien Type: Civil

Date: September 22, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $13,407.57
Judgment/Lien Type: Civil

Date: December 08, 2004
Category: Customer Dispute
Allegations: CLIENT IS ALLEGING MISREPRESENTATION OF VARIABLE ANNUITY
Damage Amount Requested: $47,008.04

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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